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^yi uBRfest The 
NORTH CAROLINA 

REGISTER 



IN THIS ISSUE 



EXECUTIVE ORDER 

FINAL DECISION LETTER 

PROPOSED RULES 

Administrative Hearings 

Correction 

Environment, Health, and Natural 

Resources 
Insurance 
Nursing, Board of 
Speech and Language Pathologists and 

Audiologists 
State Personnel 

FINAL RULES 
Revenue 

LIST OF RULES CODIFIED 

RRC OBJECTIONS 

RULES INVALIDATED BY JUDICIAL DECISION 



ISSUE DATE: March 2, 1992 

Volume 6 • Issue 23 • Pages 1742- 1815 



TNFORMATTON ABOUT THE NORTH CAROLINA REGISTER AND ADMTNTSTRATTVF, rnnp, 



NORTH CAROLINA REGISTER 



TEMPORARY RULES 



The North Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each county in the state and to various state officials and 
institutions. 

The North Carolina Register is available by yearly subscription 
at a cost of one hundred and five dollars ($105.00) for 24 issues. 
Individual issues may be purchased for eight dollars ($8.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, 
P. 0. Drawer 27447, Raleigh, N. C. 27611-7447. 



Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions in 
G.S. 150B-21.1. If the Codifier determines that the fmdings meet 
the criteria in G.S. 150B-21.1, the rule is entered into the NCAC. If 
the Codifier determines that the fmdings do not meet the criteria, 
the rule is returned to the agency. The agency may supplement its 
findings and resubmit the temporary rule for an additional review 
or the agency may respond that it will remain with its initial 
position. The Codifier, thereafter, will enter the rule into the 
NCAC. A temporary rule becomes effective either when the 
Codifier of Rules enters the rule in the Code or on the sixth 
business day after the agency resubmits the rule without change. 
The temporary rule is in effect for the period specified in the rule or 
180 days, whichever is less. An agency adopting a temporary rule 
must begin rule-making procedures on the permanent rule at the 
same time the temporary rule is filed with the Codifier. 



ADOPTION AMENDMENT, AND REPEAL OF 
RULES 



NORTH CAROLINA ADMINISTRATIVE CODE 



The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority, please consult Article 2A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may request 
a hearing); a statement of procedure for public comments; the text 
of the proposed rule or the statement of subject matter; the reason 
for the proposed action; a reference to the statutory authority for the 
action and the proposed effective date. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule that 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file 
the rule with the Rules Review Commission (RRC). After approval 
by RRC, the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 business 
days after the rule is filed with the Office of Administrative 
Hearings for publication in the North Carolina Administrative Code 
(NCAC). 

Proposed action on rules may be withdrawn by the promulgating 
agency at any time before final action is taken by the agency or 
before filing with OAH for pubhcation in the NCAC. 



The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 38 occupational licensing boards. The NCAC 
comprises approximately 15,000 letter size, single spaced pages of 
material of which approximately 35% of is changed annually. 
Compilation and publication of the NCAC is mandated by G.S. 
150B-21.18. 

The Code is divided into Titles and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents (S2.50) for 10 pages or less, 
plus fifteen cents (30.15) per each additional page. 

(2) The full publication consists of 53 volumes, totaling in 
excess of 15,000 pages. It is supplemented monthly 
with replacement pages. A one year subscription to the 
full publication including supplements can be 
purchased for seven hundred and fifty dollars 
($750.00). Individual volumes may also be purchased 
with supplement service. Renewal subscriptions for 
supplements to the initial publication are available. 

Requests for pages of rules or volumes of the NCAC should be 
directed to the Office of Administrative Hearings. 



CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 1:1 NCR 101-201, April 1, 1986 refers to 
Volume 1, Issue 1, pages 101 through 201 of the North Carolina 
Register issued on April 1, 1986. 



FOR INFORMATION CONTACT: Office of 
Administrative Hearings, ATTN: Rules Division, P.O. 
Drawer 27447, Raleigh, North Carolma 27611-7447, (919) 
733-2678. 



NORTH 
CAROLINA 
REGISTER 




Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, AC 27611-7447 

(919) 733 - 2678 



Julian Mann III, 

Director 
James R. Scarcella Sr., 

Deputy Director 
MoUy Masich, 

Director APA Services 



ISSUE CONTENTS 



I. EXECUTIVE ORDER 

Executive Order 160 1742 

II. FINAL DECISION LETTER 

Voting Rights Act 1743 

III. PROPOSED RULES 

Administrative Hearings 

Hearings Division 1792 

Rules Division 1792 

Correction 

Prisons, Division of 1744 

Environment, Health, and 

Natural Resources 

Coastal Management 1753 

Soil and Water 

Conservation 1751 

Insurance 

Actuarial Services Division 1749 

Licensing Boards 

Nursing, Board of 1765 

Speech & Language 
Pathologists & Audiologists ...1777 
State Personnel 

Office of State Personnel 1777 

rV'. EESAL RULES 
Revenue 

Individual Income Tax 1794 



V. LIST OF RULES CODIFIED. .1797 



Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley, 

Editorial A ssistant 



VL RRC OBJECTIONS 1805 

VII. RULES INTALIDATED BY 

JUDICIAL DECISION 1810 

VIII. CUMULATFVE FSDEX 1812 



NORTH CAROLINA REGISTER 

Publication Schedule 

(January 1992 - December 1992) 



Issue 


Last Dav 


Last Dav 


Earliest 


Earliest 


Last Day 


♦ 


Date 


for 


for 


Date for 


Date for 


to 


Earliest 




Filing 


Electronic 


Public 


Adoption 


Submit 


Effecti\-e 






Filing 


Hearing 


by 

Agenc\- 


to 
RRC 


Date 


+♦+♦+++++♦♦++♦++♦++++*++++++++++++++++♦++♦*+++♦+++++*++♦♦++♦+♦♦♦+♦♦ 


01/02/92 


12/09-91 


12 16/91 


01/1792 


02 01 '92 


02,20/92 


04 01/92 


01/15/92 


12/20/91 


12/31/91 


01/30 92 


02 14/92 


02/20/92 


04/01-92 


02/03/92 


01/10/92 


01/17/92 


02/18 92 


03 04 '92 


03/20/92 


05,01/92 


02/14/92 


01/24,92 


01/31/92 


02/29/92 


03 15/92 


03/20/92 


05/01/92 


03/02/92 


02; 10 92 


02/17/92 


03,17/92 


04 01/92 


04 '20/ 92 


06 01 92 


03/16/92 


02,24/92 


03 02/92 


03/31 92 


04 15 '92 


04 20/92 


0601/92 


04/01/92 


03/11/92 


03/18/92 


04/16/92 


05 '01/92 


05/20/92 


07,01 '92 


04/15/92 


03/25 92 


04/01/92 


04/30/92 


05'15'92 


05/20/92 


07/01,92 


05/01/92 


04 10 92 


04/ 17 '92 


05/16/92 


05/31,92 


06/20 92 


08 03 92 


05/15/92 


0424/92 


05,01/92 


05/30 92 


06 14 '92 


0620/92 


08:03,92 


06/01/92 


05/1 192 


05/18/92 


06,16/92 


07 01/92 


07,20/92 


09/01/92 


06/15/92 


05/22 92 


06,01/92 


06/30-92 


07 15 92 


07 20/92 


09 01 92 


07/01/92 


06/ 10 '92 


06/ 17 '92 


07, 16 92 


07/31,92 


08,20 92 


1001,92 


07/15/92 


06/24-92 


07,01/92 


07/30,92 


08 '14/92 


08/20/92 


10/01 92 


08/03/92 


07/13/92 


07/20/92 


08/1892 


09/02,92 


09/20/92 


11/02/92 


08/14/92 


07;24''92 


07/31/92 


08,29 92 


09/13 92 


09 20/92 


11,02 92 


09/01/92 


08/11 92 


08/18/92 


09/16,92 


10/01/92 


10/20/92 


12,01 92 


09/15/92 


08/ 25 '92 


09,01/92 


09/30, 92 


10/15/92 


10/20/92 


12/01 92 


10/01/92 


09 i 0/92 


09/17/92 


10/16/92 


10/31/92 


11/20/92 


01/04,93 


10/15/92 


09/24/92 


10/01/92 


10/30/92 


11/1492 


11/20/92 


01/04 93 


11/02/92 


10/12/92 


10 19/92 


11/17/92 


12,02/92 


12/20,92 


02,01,93 


11/16/92 


10/23 '92 


10,30/92 


12/01/92 


12 16/92 


12/20/92 


02/01 '93 


12/01/92 


11/06/92 


11 13/92 


12/16/92 


12 31,92 


01/20/93 


03 01 93 


12/15/92 


11/24/92 


12/01/92 


12/30/92 


01,14,93 


01,20/93 


03,01 93 



* The "Earliest Effective Date" is computed assuming that the agency follows 
the publication schedule above, that the Rules Review' Commission approves the 
rule at the next calendar month meeting after submission, and that RRC delivers 
the rule to the Codifier of Rules five (3 J business days before the 1st business 
day of the next calendar month. 



EXECUTIVE ORDER 



EXECLTIVE ORDER NUMBER 160 

AMENDMENT TO EXECUTIVE ORDER 

NUMBER 152 

By the authority vested in me as Governor by 
the Constitution and laws of North Carolina, IT 
IS ORDERED: 

Executive Order Number 152 is hereby 
amended to add the following member to the 
Persian Gulf War Memorial Commission. 

Section 1 ESTABLISHMENT 



There is hereby established the Persian Gulf 
War Memorial Commission. It shall be com- 
prised of the following. . . 

1 1 . One at-large member. 

This Executive Order shall become effective 
immediately. 

Done in Raleigh, this the 27th dav of January, 
1992. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1742 



VOTING RIGHTS ACT FINAL DECISION LETTER 



[G.S. I20-30.9H, effective July 16, 1986, requires that all letters and other documents issued by the 
A ttorney General of the United States in which a final decision is made concerning a "change af- 
fecting voting" under Section 5 of the Voting Rights Act of J 965 be published in the North Carolina 
Register. / 



U.S. Department of Justice 
Civil Rights Division 

JRD:GS:FHD:gmh 

DJ 166-012-3 Voting Section 

91-4648 P.O. Box 66128 

Washington, D.C. 20035-6128 

February- 6, 1992 

George A. Weaver, Esq. 

Lee, Reece & Weaver 

P. O. Box 2047 

Wilson, North Carolina 27894-2047 

Dear Mr. Weaver: 

Tliis refers to the temporan,' polling place change for the Town of Black Creek in Wilson County, 
North Carolina, submitted to the .Attorney General pursuant to Section 5 of the Voting Rights Act of 
1965. as amended, 42 U.S.C. 1973c. We received your submission on December 20, 1991. 

The Attorney General does not interpose any objection to the specified change. However, we note 
that Section 5 expressly provides that the failure of the Attorney General to object does not bar sub- 
sequent litigation to enjoin the enforcement of the change. In addition, as authorized by Section 5, 
we reserve the right to reexamine this submission if additional information that would otherwise require 
an objection comes to our attention during the remainder of the sixty-day review period. See the 
Procedures for the Administration of Section 5 (28 C.F.R. 51.41 and 51.43). 

Sincerely, 



John R. Dunne 

Assistant Attorney General 

Civil Rights Division 



By: 



Gerald W. Jones 
Chief, Voting Section 



1743 6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



TITLE 5 DEPARTMENT OF 
CORRECTION 

1\ otice is hereby gh'en in accordance with G.S. 
I50B-2I.2 that the Department of Correction in- 
tends to amend rules cited as 5 NCAC 2D .0307, 
.0309: 2F .1504- .1506. 



Th 



he proposed effective date of this action is June 
I, 1992. 

1 he public hearing will be conducted at 10:00 
a.m. on March 18. 1992 at the Conference Room, 
831 IV. Morgan St., Raleigh, NC. 

J\eason for Proposed Action: These Rules are 
being amended to upgrade departmental stand- 
ards as it relates to use of force, inmate mail pro- 
cedures and current case law. 

{^omment Procedures: Any person or organiza- 
tion desiring to make oral comments at the hear- 
ing should register to do so at the hearing. 
Statements will be limited to JO minutes, and one 
typex^ritten copy of any such statement should be 
submitted to the panel conducting the hearing. 
Any additional comments should be forwarded to 
the North Carolina Dtiision of Prisons. Attention: 
Jeffrey IV. Cheek, 831 W. Morgan St., Raleigh, 
NC 27603. 

hiditor's Note: Rules .1504 - .1506 have been 
fded as temporary rules ejfective March 19, 1992 
for a period of 180 days to expire on September 
15, 1992. 

CHAPTER 2 - DIVISION OF PRISONS 

SLBCHAPTER 2D - PUBLIC 
COMMUNICATIONS 

SECTION .0300 - INMATE USE OF THE MAILS 

.0307 CORRESPONDENCE 

(a) Legal Mail. 

(1) Definition: Mail to or from attorneys, 
state and federal courts, the Attorney 
General of the United States or the At- 
torney General of North Carolina, the ju- 
diciary', the Industrial Commission, or 
legal aid services and Para-legals. 

(2) Legal mail from inmates shall not be 
opened for inspection or impeded in its 
transmission. If there is any question as 
to whether an addressee is one of these 
persons, the mail can be held for not more 
than 24 hours to resolve the question. 



(3) Postage for legal mail from inmates will 
be paid from the Operating Fund pro- 
vided the inmate is indigent. No other 
eligibility requirements apply to postage 
for legal mail. The 10 letter limitation on 
personal mail does not apply to legal mail. 

(b) Department of Correction Officials. 

(1) Definition: The Secretary of Correction, 
the Director of Prisons, any member of 
the Grievance Resolution Board or its 
staff, any member of the Board of Cor- 
rection, the Parole Commission or its 
staff, or any ofTicial of the Department of 
Correction in the chain of command 
above the superintendent/warden to 
which the inmate is assigned, are defmed 
as DOC officials. 

(2) Mail to DOC officials will be accepted 
within our system without postage. 

(3) Mail to DOC officials shall not be opened 
for inspection or impeded in its trans- 
mission. If there is any question as to 
whether an addressee is one of these per- 
sons, the mail can be held for not more 
than 24 hours to resolve the question. 

(c) Other Government Officials. 

(1) Definition: Any member of the Congress 
of the United States or any member of the 
General Assembly of North Carolina; the 
President of the United States or the 
Governor of North Carolina; the Attor 
ftey Gonc-'rol ©f the U'nitod Statoo ef ti*e 
Attomoy Gonoral »f North Cajohna; the 
Director or any agent of the Federal Bu- 
reau of Investigation are defmed as other 
government officials. 

(2) Mail to other government officials will be 
considered as personal mail for the pur- 
pose of postage. 

(3) Mail to other government officials shaU 
not be opened for inspection or impeded 
in its transmission. If there is any ques- 
tion as to whether an addressee is one of 
these persons, the mail can be held for not 
more than 24 hours to resolve the ques- 
tion. 

(d) Personal Mail. 

(1) Definition: Any mail to or from an in- 
mate that is not defmed in Paragraphs (a), 
(b), or (c) of this Rule. 

(2) Postage for personal mail from inmates 
without funds will be paid from the Op- 
erating Fund provided the inmate is indi- 
gent. 

(3) Postage for personal mail from indigent 
inmates shall be limited to the cost of 10 
first-class one ounce letters per month per 
indigent inmate. 



6:25 NORTH CAROLINA REGISTER March 2, 1992 



1744 



PROPOSED RULES 



(e) Other Outgoing Mail. Personal mail from 
inmates may be sealed when placed in the out- 
going mail and shall not be opened and censored 
unless the superintendent, warden or his designee 
has good cause to believe that: 

( 1 ) The mail contains threats of physical harm 
against any person or threats of criminal 
activity. 

(2) The mail threatens blackmail or extortion. 

(3) The mail concerns sending contraband in 
and out of the correctional facility. 

(4) The mail concerns plans to escape. 

(5) The mail concerns plans to violate de- 
partmental rules and policies necessary to 
maintain security and control. 

(6) The mail concerns plans for criminal ac- 
tivity or violation of state or federal laws. 

(7) The mail concerns information which if 
communicated would create a clear and 
present danger of violence and physical 
harm. 

(f) Incoming Mail. 

(1) Inspection: The superintendent/warden 
shall provide for the inspection of all in- 
coming mail by qualified members of the 
correctional facility. The insp>ection shall 
serve to prevent inmates from receiving 
through the mail contraband or any other 
material that threatens to undermine the 
security and order of the facility or which 
cannot be lawfuUy sent through the mail. 
Mail to inmates which appears to be from 
one of the persons listed in Paragraphs 
Paragraph (a) (¥>7 »f (e) of this Rule, shall 
be opened by correctional staff in the 
presence of the inmate. Correctional staff 
\\'ill insure that ' I ' l ho shall see tfeat- the 
contents of letters from persons listed in 
Paragraph (a), (b), or [c) of this Rule are 
free 'of contraband and are in fact official 
or legal correspondence from the person 
whose name and retum address appears 
on the outside of the envelop>e or package. 
The correspondence shall not be read be- 
yond what is necessary to make this de- 
termination 

(2) Censorship: Incoming personal mail may 
be opened and read by the 
superintendent warden or his designee 
only if he has reason to believe that the 
contents of the letter fall into one of the 
categories listed in Paragraph (e) of this 
Rule. This Paragraph and Paragraph (e) 
of this Rule allow for inspection and cen- 
sorship of mail only when necessary to 
protect the security of the facility and 
prevent criminal activity. No letter is to 



be opened or censored in order to elimi- 
nate critical opinions of Departmental 
policy or the Department's employees. 
.'Ml incoming personal mail is to be in- 
spected but not read unless it falls in one 
of the categories listed in Paragraph (e) of 
this Rule. Under normal circumstances, 
incoming mail should not be read, 
(g) Mass MaiUng. Any massive attempt to use 
the mails to reach the inmate population or fa- 
cility is inherently suspect. If the 
superintendent warden has good cause to believe 
that such an attempt has been initiated in order 
to cause disruption or otherwise threaten the or- 
der and security of the facility, the mail involved 
win be censored. If necessary, due to the security 
consideration stated in this Paragraph, the 
superintendent warden may refuse dehver.' of 
this mail without notice to the inmate addressee, 
(h) Rules on Letter Content and Structure. 

(1) Letters to and from inmates must be 
written in English unless an exception to 
this requirement is made by the 
superintendent warden. 

(2) Letters may be typewritten, printed, or 
written legibly in longhand. 

(3) letters to inmates should be addressed so 
that the full name of the inmate appears 
on the envelope. The inmate shall in- 
struct his correspondents to use the cor- 
rect address as posted on the inmate's 
bulletin board. 

(4) Letters from inmates must have their full 
name and retum address of the facihty in 
the upper left comer of the envelope. 

Statutory Authority G.S. I4S-I I. 

.0309 PACKAGES AND OTHER ITEMS 

(a) Sent by Inmates. Packages and large en- 
velopes addressed to persons other than one of 
those hsted in Rule .0307(a), (b), or (c) of this 
Section, may not be sealed for mailing by an in- 
mate until inspected by a correctional officer and 
found free of contraband or material which con- 
stitutes a threat to the order and security of the 
facility or which cannot be lawfully sent through 
the mail. Tiiis inspection shall be done in the 
presence of the inmate. If cleared for mailing, the 
item shall be sealed and placed in the mail by the 
sender in the presence of the inspector. 

(b) Sent to Inmates. Additional items sent to 
inmates shall be subject to inspection and han- 
dling by a correctional officer. The inspection 
shall be done in a secure location in the facility 
and shall not be done in the presence of the in- 
mate. If the officer determines that the package 
or envelope contains contraband or other mate- 



1745 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



rial that threatens the order and security of the 
facility, this material shall be confiscated. 

(c) Additional Items Sent to Inmates. In ad- 
dition to letters, the following items may be re- 
ceived by an inmate through the mail, and are 
always subject to inspection and handUng as 
provided in these Regulations: 

(1) clothing approved for use while 
incarcerated; 

(2) clothing to be used upon release (if re- 
ceived within 15 days of a scheduled re- 
lease date); 

(3) musical instruments (when approval is 
secured in advance from the 
superintendent /warden ) ; 

(4) unframed photographs, not to exceed 8" 
X 10"; 

(5) legal papers; 

(6) publications which may be received under 
5 NCAC 2D .0100; 

(7) religious items; 

(8) money shall be sent by postal or bank 
money order or cashiers or certified 

^y^cky-'L-C I ^^ L-' Hi o^rtf V-w T T-i-l -^1 1 1 1- Vi -ill ^^a rr-t 

V,ll^V.lvD> T^TTTTTT LW.^ II L' T II lUJT J 1 1 ll^r U'V r^^^ 

tumod te the f x » ndor with a«- OKplonation 
ef ti»e roquiromonts fof money ordoro 
and or oortifiod chL>cko. Cash that is con- 
cealed or hidden within other mailed items 
in an attempt to avoid detection shall 
prompt an investigation and appropriate 
discipLLnary action. Such oaoh wiii h% 
confiscat e d if the inmato i* found guilty 
ef a diociplinary offonoo. Othonvioo, it- wiii 
be rotumod te- the condor, tf Re- return 
addroos i* provided, cash rccei' i ' e d wiil- be 
oonfiscatod as contraband aad dopositod 
is tfee Inmato ^\^olfaro Fund. Procedures 
for the proper handling of money are 
contained in Fiscal PoUcv . 1 002 (b)( 1). 

(d) Inmate Request for Other Items. Any in- 
mate may request Ln writing permission from the 
Command Manager to receive through the mail 
a specific item that is not otherwise authorized. 
This request shall be forwarded through the 
chain of command to permit the views of area 
staff to be expressed. Seasonal exceptions may 
be authoriyxd by the Director of Prisons in addi- 
tion to the hst of items an inmate may receive 
through the mail. 

(e) COD Packages Sent to Inmates. No COD 
packages shall be accepted for any inmate and 
no inmate shall be authorized to send mail COD. 
Unauthorized items arriving by mail shall be re- 
turned to the sender at the expense of the inmate 
addressed. If the inmate is without funds, the 
package shall be returned at the state's expense 
or the inmate may donate it to a charitable or- 



ganization or request it to be destroyed. A copy 
of the mail regulations shall be enclosed in the 
package to be returned. Packages that postal 
authorities will not accept for return to the sender 
shall be delivered to some charitable organiza- 
tion, or to a law enforcement agency in appro- 
priate cases, and a receipt shall be obtained for 
the same. 

Statutory Authority G.S. 148-11. 

SLBCHAPTER 2F - CLSTODV AND SECLRITY 

SECTION .1500 - USE OF FORCE 

.1504 POLICY 

The following general guidelines apply to the 
use of force in the Division of Prisons. 

(1) The use of force shall be permissible only 
to the extent reasonably necessary for a 
proper correctional objective. Excessive 
force is prohibited, b*rt This prohibition 
shall not be construed to mean that staff 
must suffer an assault upon their person be- 
fore taking appropriate defensive action or 
that the use of force by another must be met 
with strictly equal force on the part of the 
staff, fte dogroo ef force noooGooP i ' te con 
tfel the situation oh all be dotorminod m the 
context ei tbe numb e r ef staff prooont, the 
typo »f r e sistanc e omployod, the rolativo see 
aftd strength ef tfee poroons involved aftd 

(2) An officer is authorized to use whatever 
degree of force reasonably appears to be 
necessary' to defend the officer or a third 
party from imminent assault. Reasonable 
force is authorized in order to prevent an 
escape or to ensure compliance with a lawful 
order or to protect property or to return an 
escapee to custody. When time and cir- 
cumstances permit, a sergeant or supervisor 
of higher rank should be present to supervise 
anticipated use of force or situations likely 
to result in use of force. An officer should 
attempt non forcible methods of inmate 
control, but only to the extent reasonably 
possible under the circumstances as they 
appear to that officer. 

(3) An officer may lawfully utilize deadly force 
to: prevent the escape of a convicted felon, 
prevent or stop a life threatening assault on 
themselves or another person, or to prevent 
escape of a pre-trial detainee awaiting felony 
charges. Deadly force may not be used 
solely to protect property or ensure compli- 
ance with a lawful order that does not im- 
phcate personal safety. 



6:2i NORTH CAROLINA REGISTER March 2, 1992 



1746 



PROPOSED RULES 



(4) An officer is prohibited from using force 
solely as a result of verbal provocation. 
ho^'ovor e xtrem e . An officer shall not strike 
or attempt to strike an inmate who has 
abandoned his resistance or who is effec- 
tively restrained. The use of force as pun- 
ishment is strictly prohibited. 

(5) Wfien employing any degree of force, the 
officer shall use reasonable care to ensure 
that uninvolved persons innooont parties are 
not endangered by such use of force. 

(6) I-^ach facility will designate the post ap- 
proved to be routinelv issued batons. 

(7) f4f '1 he long and short batons are the only 
mdividual impact doi i doofi tools authorized 
for duty use bv division personnel. Each 
facility wiii docignato the poots approved te 
routinely h% iosuod batons. Howev e r, » 
extreme ciroumotanoeo staff af% oxpoctod te 
**se a#Hr means available te- prot e ct them 
selves from assault aft4 injur). 

(8) f?) Firearms will be limited to those ap- 
proved by the Director of Prisons. Personal 
w e apons fjearms are prohibited. AH >' i 'eap 
e«* firearms must be the property of the 
Division of Prisons. 

(9) f84 If an inmate complains of a use of force 
in a grievance and a Use of Force Report 
was not completed, the Officer- In-Charge 
will investigate. The investigation should 
begin with a medical examination as soon 
as possible. If the Officer- In-Charge deter- 
mines that a Use of Force Report should 
have been completed, the responsible officer 
will be subject to disciplinary' action. 

f9^ WTien time aR4 oircumstanoes pormit. a 
Sergeant ef sup e p i isor »f higher rank wi^ h% 
present te supervise anticipated »se ef forc e 
&f situations Idioly te result » Hse ef force. 

(44) Aft officer should attempt non forcible 
methods ef inmato control, bwt only te- the 
e xt e nt r e asonably possible under the es- 
cumstonces a* they app e ar te that officer. 

f44) Application &f force wiM depend eft a de- 
t e nnination hy the Officer ©ft the scone whe 
Vi4y h% guided fey t4*e facility's Standard 0f>- 
erating Procedures. Standard Operating 
Procedures shall he approved by the 
J \roa Complex i\dministrator ©f Institution 
Head esi^ shoU include the nooossop/ proce 
dures fof implementing this policy. 

f44) This policy recognizes that use »f forc e is 
more likely te- occur ift 

C i Ogregation maximum custody facilities aftdr 
therefore, aft officer wiii H©t he assigned t© 
a single eeli segregation eell- block unless he 
ha* completed the basic training program ©f 



i* ift aft on the job training capacity i» a 
double postmg with a trained officer ©f m 
e mergency aR4 hfe threatening situationo. 
(10) f4*^ Escapes. 

(a) An escape escapee is any individual at- 
tempting to leave the custody of the Di- 
\ision of Prisons without prior 
authorization. 

(b) Deadly force is not authorized against a 
misdemeanor escapee, a pretrial detainee 
awaiting misdemeanor charges or in the 
apprehension of these persons except 
where there is an imminent threat of death 
or serious bodily injurN presented, ©f m 
the apprehension ©f a misdemoanor 
escapee, except " i vhon there is a cl e ar afi4 
present danger ©f serious injurv' ©f l©ss ©f 
life t©aft employee ©f third party. 

(e) Deadly force is ft©t authorized against a 
pre trial detainee escapee awaiting 
misdemeanor charges. 

(c) (4) Deadly force is authorized against a 

felon escapee or a pretrial detainee await- 
ing felonv charges. 
(ef Deadly force vs authorij'.ed against a pre- 
triai detainee awaiting felony charges. 

Statutory Authority G.S. 148-11; 148-46. 

.1505 PROCEDl RES 

(a) Hands-on Physical Force. 

(1) Hands-on physical force, including ap- 
proved unarmed self defense techniques, 
is authorized to restrain or otherwise con- 
trol an inmate when control through 
communication has failed or is not feasi- 
ble. 

(2) Hands-on physical force may be used to 
defend the officer or a third party from 
imminent assault, or to prevent an 
escapee, or to protect property, or to en- 
sure compliance with a lawful order or to 
return an escapee to custody. 

(b) Chemical Mace. 

(1) Chemical mace may be used to the extent 
necessary to control or deter violent or 
aggressive acting imnates. 

(2) An officer should attempt to avoid dis- 
charging mace into direct contact with an 
inmate's face. 

(3) An inmate subjected to mace wili should 
be moved to a ventilated area and wtU 
should be afforded an opportunity to 
shower and change clothes once control 
has been restored. .An inmate's refusal of 
the opportunity to shower and change 
clothes shall be documented in the Use 
of Force Report. 



1747 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(c) Individual Control Devices (Long Baton, 
Short Baton). 

(1) Individual control devices may be used to 
control violent or aggressive inmates. 

(2) Intentional ovorhoad powered striJces with 
a baton to vital areas are prohibited unless 
reasonably necessary to defend oneself or 
others from imminent threat of death or 
senous bodily injury. Vital areas include 
the head, throat, neck, plexus, spme, kid- 
neys, or coccyx. However, in extreme 
circumstances, staff members are expected 
to use any means available to protect 
themselves from assault and injury. 
deadly forc e is te defend himoelf ef othoro 
from imminont Doriouo personal injury ef 
deadly p e ril. 

(d) Mechanical Restraints. 

(1) Approved Division of Prisons' mechanical 
or physical restraints to immobilize an in- 
mate, may be used to control inmates 
who have demonstrated behavior that 
presents a significant risk of injur>' to self 
or others. Interim steps such as hand- 
cuffs, wrist chains, and leg-cuffs may be 
used to attempt to control the inmate be- 
fore immobilizing. 

(2) The Officer- In-Charge may authorize the 
use of restraints to immobilize an inmate 
for up to four hours. If the inmate is 
immobilized with the use of restraints, the 
Officer- In- Charge should immediately 
notify the Area, Institution or 
Correctional Center Duty Officer, Psy- 
chological Ser^'ices staff, and Medical 
staff. 

(3) The Area/Complex Administrator, Insti- 
tution Head, or designee may authorize 
immobilization of an inmate for up to 
48-hours. Immobilization beyond four 
hours is not authorized except at prison 
locations which have 24-hour Health Care 
staffmg and single cell faciUties. Reason- 
able effort will be made to avoid undue 
physical hardship for restrained inmates. 
Restrained inmates will be temporarily 
released from immobilization even,' three 
hours during the first and second shifts, 
so they may eat, drink, and take care of 
their bodily functions. During the third 
shift, an inmate may not be temporarily 
released, unless the inmate requests release 
to take care of bodily functions. Periodic 
observation wiU be required every 15 
minutes while immobilized and will be 
documented. 

(4) Immobilization for longer than 48-hours 
shall require transfer to Central Prison, or 



to the North Carolina Correctional Insti- 
tution for Women for appropriate treat- 
ment and supervision. Transfer of a male 
inmate under the age of 18 to Central 
Prison will require approval of the Com- 
mand Manager or the Di\ision Duty Of- 
ficer. 

(5) The approving authority for the use of 
restraints for immobilization should con- 
sult with the facility Medical staff as well 
as the facility or Area Mental Health staff, 
one of whom wbe will examine the in- 
mate as soon as possible, and at least ev- 
ery four hours thereafter, and will 
document those examinations in the in- 
mate's medical record. 

(6) Roaoonablo effort wtHr be mad e te- avoid 
undue phyBical hardohip fof restrain ed ir- 
matoo. RoGtrain e d inmatoo wiii b» tern 
porarily reloaded from immobiliBation 
ovary thr ee houro during tbe fifst aft4 see- 
©ft4 shifts, %» tfe^ H*ay- ea^r drinlc, a«4 
t^*e eaf» ©f their bodily functione. Dur 
'm% Ae third shift, aa inmate may ftet- be 
tomporarily reioaood, unlooo the uimato 
requests roloaoo *«■ tai» eafe »f bodily 
functions. Periodic obDor i 'ation wiU h% 
required e ^' e ry 4^ minut e s while 
immobilii'.ed a«4 wili be documontod e«- 
Pefm DC Ml. 

(6) {p-f The use of therapeutic restraints as part 
of mental health treatment is outlined in 
the Health Care Procedures Manual, at- 
S e ction 44^ 

(e) Tear Gas. 

(1) Tear gas canisters and other tear gas 
weapons will be used only if an exit is 
available to a ventilated area or can be 
made available to a ventilated area for the 
inmates following the return of control. 

(2) Affected irmiates will be given the oppor- 
tunity to shower and wili receive clean 
clothes once control has been established. 

(3) Only the Officer- In-Charge of the 
correctional facihty may authorize the use 
of tear gas. 

(f) Firearms. 

( 1 ) The use of firearms are authorized in the 
deadly force situations described in Rule 
■ASQi (e> ©f this Section. 

(2) In an emergency, the Emergency Re- 
sponse Commander may authorize the 
use of firearms to assure compliance with 
a lawful order when failure to comply 
jeopardizes the safety of the pubUc, staff, 
or other iimiates to the extent that serious 
injur}' or death is likely to occur. 



6:25 NORTH CAROLINA REGISTER March 2, 1992 



1748 



PROPOSED RULES 



lii 
(5i 



No firearms of any description shall be al- 
lowed at any time in a correctional facility 
except as directed by the Emergency Re- 
sponse Commander. 

f4+ No firearm is to be left unattended or 
unsecured at any time or in any place ac- 
cessible to the public or inmates, either 
directly or indirectly. 
A» officer should apply good cafoty toch 
niqujo whon k- i* nocjooary te rh* ' ■ viih a 
tiroarm m hand. 

f*4 In a pursuit situation outside the con- 
fmes of the facility. Aft officer officers 
should ax'oid finng at or from a movmg 
vehicle. 

P+ .\n officer should avoid firing warning 
shots but when good judgment dictates 
their use, care shall be taken to not mjure 
other persons or property. 
An olTicer should not cock revolvers; the 
llnng of revolvers should be double action 
at all tunes. 



Slatuwry Authority G.S. 148-11; 148-46. 

.1506 MEDICAL RESPONSE 

(a) A medical evaluation will be conducted on 
each inmate invoh'ed in a use of force incident. 
Mc'dical evaluations v4ii b* made available i^ 
staff invol' i ed tft a a^^ &f force mcident. Aftv ift- 
j«p^ to r+aff should b* evaluated afi4 documented 
aft4 treatment pro' . ided. .Medical o' l oluation aft4 
treatment ©f aa inmat e shall be pro'rided b¥ 
correctional medical (rtaff efr if ft»t- a' i 'uilablo. bv 
tfee nearest medical faciUty. 

(b) The Officer- In- Charge will determine 
whether or not immediate medical attention is 
required for an inmate. .Application of one or 
more of the following circumstances will require 
medical evaluation and treatment immediately: 

( 1) The inmate complains of injur)-; 

(2) Staff obser%'e any injury; 

(3) Staff employed a firearm, mace, a baton 
or any other device Hkely to cause injury: 
or 

(4j The amount of force used has rendered the 
inmate immobile, unconscious or unable 
to communicate. 
If no trained medical staff is available at the fa- 
ciHtv and the Officer In Charge determines the 
inmate requires immediate medical attention, the 
inmate \\'ill be transported to an appropnate 
medical facUitw 

(c) An inmate's refusal of treatment shall be 
documented on both the use of force report and 
the medical record. 

(d) -\n\ injurN' to staff should be evaluated, 
documented and treatment provided- 



Inmates H^ requiring immodiato medical atton - 
tieft vriH receive a mcniical evaluation a* soon as 
m e dical staff are available. 

Statutory- Authority G.S. 148-11; 148-46. 

TITI.E 1 1 - DEPARTMENT OF 
INSURANCE 

l\otice is hereby given in accordance with G.S. 
150B-21 .2 that the A'.C. Department of Insurance 
intends to adopt rule(s) cited as 11 NCAC 16 
.0205 - .0206. 

1 he proposed effective date of this action is June 
I, 1992. 

1 he public hearing will be conducted at 10:00 
a.m. on .March 24, 1992 at the Dobbs Building, 
430 S. Salisbury Street. Third Floor Hearing 
Room, Raleigh, \.C. 27611. 

l\eason for Proposed .Action: II SCAC 16 
.0205 - The submission of data is required to es- 
tablish the actuarial reasonableness of the rate re- 
vision requested. 11 SCAC 16 .0206 - Prohibit 
insurers from establishing classes within a policy 
form or policy forms that results in the elimination 
of new entrants to the class. 

C- omment Procedures: Written comments may 
be sent to Walter James, .Actuarial Services Divi- 
sion. P.O. Bo.x 2638'^, Raleigh, A'.C. 2'^6II. Oral 
presentations may be made at the public hearing. 
Anyone having questions should call Walter James 
at (919) 733-3284, or Ellen Sprenkel at (919) 
733-4529. 

CH.\PTER 16 - .\CTL.\RI.\L SERMCES 
DIVISION 

SECTION .0200 - INDIVIDLWL .\CCIDENT .\ND 
HE.JlLTH INSLR.\NCE 

.0205 DAT.A REQLIREMENTS FOR RATE 
RE\ ISION SLBMISSION 

With respect to any indi\idual accident and 
health insurance pohcv for which an adjustment 
of premium rate is allowed by law, the insurer 
shall submit an actuarial memorandum describ- 
ing and demonstratmg the development of any 
requested premium rate re\ision. The actuonal 
memorandum shall contam a subsection clearly 
identified as "Additional Data Requirements." 
■All data required bv this Rule must be submitted 
to the Department's Life and Health Di\ision 
within 45 davs after the date that the rate re\ision 



1749 



6:23 \ORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



submission is received and stamped by that Di- 
vision. An insurer may continue to submit data 
in accordance with data submission procedures 
followed before the effective date of this Rule for 
a period not to exceed one year after the effective 
date of this Rule if an authorized officer of the 
insurer certifies to the Commissioner that the 
insurer's current information system cannot as- 
semble data as required bv this Rule. 1 he data 
required in the "Additional Data Requirements" 
subsection shall include: 

(1) Identification of the submitted data as 
North Carolina or countrywide and consist- 
ent use of this data identification throuohout 
this Section. 

(2) Identification of all policy forms bv ap- 
proved North Carolina policy form number. 

(3) The month, year, and percentage amount 
of all previous rate revisions. 

(4) The month and vear that the rate revision 
is scheduled to be implemented (hereinafter 
referred to as the "implementation date"). 

(5) The type of renewabihtv provision con- 
tained in each policy form, e.g. guaranteed 
renewable. 

(6) The type of coverage provided by each 
pohcy form, e.g. medical expense. 

(7) The National Association of Insurance 
Commissioners minimum guideline loss ra- 
tio and, if different , the insurer's minimum 
guideline loss ratio . 

(8) The average annual premium for North 
Carolina and country-wide before and after 
the implementation of the rate revision. 

(9) The number of North (Carolina and 
countPy-wide policyholders affected by the 
rate revision. 

( 10) The requested rate revision percentage at- 
tributable to experience. 

(11) The requested rate revision percentage at- 
tributable to changes in benefits 
promulgated by Medicare, if applicable. 

(12) Identification and actuarial justification of 
aU groupings of policy forms. 

( 13) The historical calendar year earned pre- 
mium subdivided by duration and expressed 
on an actual and a current premium rate 
basis for the period of time from the earliest 
date that experience is recorded to the most 
recent date experience is recorded. 

(14) The "expected" incurred loss ratios for 
duration one through the duration coincid- 
ing with the fifth year following the imple- 
mentation date. 

(15) The "expected" lapse rates for duration 
one through the duration coinciding with 
the fifth year following the implementation 
date. 



(16) The "actual" lapse rates for duration one 
through the duration coinciding with the 
calendar year for uhich the most recent ex- 
perience is recorded. 

(17) The historical calendar year incurred 
claims, for other than Medicare supplement 
insurance, co\'ering the period of time from 
the earliest date that experience is recorded 
to the most recent date experience is re- 
corded. 

(18) The historical calendar year incurred 
claims, for Medicare supplement insurance, 
expressed on an actual and a current benefit 
level basis co\ering the period of time from 
the earhest date experience is recorded to the 
most recent date experience is recorded. 

(19) The number of pohcy years contained 
within each historical calendar year of data 
provided. 

(20) A statement declaring whether this is an 
open block of business or a closed block of 
business. 

(21) An estimation of the annual earned pre- 
mium on new issues for the period of tune 
from the date that the most recent experi- 
ence is recorded to the fifth year following 
the implementation date. 

(22) The number of months that the rate will 
be guaranteed to an individual policyholder. 

(23) The rate revision implementation method, 
such as the next premium due date following 
a given date, the next policy anniversary 
date, or otherwise; if otherwise, an explana- 
tion must be included. 

(24) A statement declaring the month and year 
of the earliest anticipated date of the next 
rate revision. 

(25) An explanation and actuarial justification 
of the apportionment of the aggregate rate 
revision within each pohcy form or between 
policy forms that have been grouped; and a 
demonstration that the apportionment of 
the aggregate rate revision \ields the same 
premium income as if the rate revision had 
been applied uniformly. 

(26) An explanation and actuarial justification, 
if apphcable, for changing any factor that 
affects the premium. 

(27) An explanation of the effect that the rate 
revision will have on the incurred loss ratio 
on those pohcies in force for three \ears or 
more as exhibited in the Medicare Supple- 
ment Experience Exhibit of the Annual 
Statement. 

(28) The name, address, and telephone number 
of an insurance company representative who 
wiU be available to answer questions relating 
to the rate revision. 



6:2i NORTH CAROLINA REGISTER March 2, 1992 



1750 



PROPOSED RULES 



Statutory Authority G.S. 58-2-40(1); 58-51-95; 
58-63-1 5(7 )b. 

.0206 CLASS DEFINITION RESTRICTION 

With respect to individual accident and health 
insurance policies for which the adjustment of 
premium rates is allowed by law, the insurer shall 
not estabhsh, for rate revision purposes, a class 
within a pohcv form or group of policy forms so 
as to eliminate the possibility of new entrants 
into the class. This Rule does not preclude 
actuanallv justified apportionments of aggregate 
rate revisions on either open or closed blocks of 
business between classes established at the time 
the poHcv form or group of policy forms were 
approved by the Commissioner. 

Statutory Authority G.S. 58-2-40(1); 58-51-95; 
58-63-15(7 )b. 

TITLE ISA - DEPARTMENT OF 

ENTIRONMENT, HEALTH. AND 

NATURAL RESOURCES 



A^o 



otice is hereby given in accordance with G.S. 
I50B-21.2 that the DEHNR - Division of Soil and 
Water Conservation intends to amend rules cited 
as 15A \CAC6E .0006 - .0007. 



Th 



I rutructions on how to demand a public hearing: 
Any person(s) requesting a public hearing on the 
proposed rules must submit such a request in 
writing within 15 days after publication of the no- 
tice. The request must be submitted to: Glenn 
Sappie, Economist, P.O. Box 27687, Raleigh, .\'C 
27611. .Mailed written request must be post- 
marked no later than .March 17, 1992. 

JXeason for Proposed Action: To make minor 
technical adjustments to existing rules of proce- 
dure for implementing the NC Agriculture Cost 
Share Program, regarding technical assistance 
and maintenance of cost share agreement. 

(^ omment Procedures: Interested persons may 
contact Glenn Sappie at (919) 733-2302 for more 
information regarding these rules. Written com- 
ments will be received for 30 days after publication 
of the notice. The request must be submitted to: 
Glenn Sappie, DSWC, P.O. Box 27687. Raleigh, 
NC 2761 1 . Mailed written comments must be 
postmarked no later than April 1 , 1992. 



Ea 



he proposed effective date of this action is July 
I, 1992. 



editor's Note: These Rules affect the expendi- 
tures or revenues of local funds. A fiscal note was 
submitted to the Fiscal Research Division on Jan- 
uary 30, 1992, OSBM on January 30. 1992, N.C 
League of Municipalities on January 30, 1992, and 
N.C. Association of County Commissioners on 
January 30. 1992. 



CH.\PTER 6 - SOIL .\ND WATER CONSERVATION COMMISSION 



SUBCHAPTER 6E 



AGRICLLTLRE COST SHARE PROGR.\M FOR NONPOINT SOURCE 
POLLUTION CONTROL 



.0006 TECHNICAL ASSISTANCE FLNDS 

(a) The funds available for technical assistance shall be allocated by the commission based on the 
recommendation of the division and the needs as expressed by the district and needs to accelerate the 
installation of BMPs in the respective district. Each district may use these monies to fund new posi- 
tions or to accelerate present technical assistance positions. A- maximum ©f fiftoon thousand doUaro 
(S15,000) Bf \.C. y\griculture Coot Share program fundo may b^ uood f^ FTE t e chnical position v4A 
A# district matching %i^ porcont »f tfee total position eest' m ordor te qualify. Districts must provide 
an itemized budget to the division in order to qualify for technical assistance funds. Matching funds 
for district technical assistance shall be approved bv the commission prior to any expenditure of funds. 
Budget revisions submitted by the districts can be approved bv the NFS Section based on Paragraph 
(b) of this Rule. N.C. Agricuhure Cost Share technical assistance funds may be used for each FTE 
techmcal position with the district matching 50 percent of the total. Priorities for funding positions are 
assigned based on the rating system as follows: 

(1) Position presently funded by program technical assistance funds 



(2) Position needed in district not presently receiving technical assistance monies 

(A) Position needed to qualify for cost share allocation 

(B) Position needed to further accelerate program 



50 pts. 

15 pts. 
10 pts. 



1751 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(3) Position needed to further accelerate program in district presently receiving technical 
assistance monies for another position 

5 pts. 

(4) Position needed to further accelerate treatment of identified critical nonpoint source 
pollution problem (i.e., intense animal waste, PNA drainage area, Nutrient Sensitive 
Watershed, etc.) 

15 pts. 

(b) Technical assistance funds may be used for salary, benefits, social security, field equipment and 
supplies, office rent, office equipment and supplies, postage, telephone service, travel and mileage. A 
maximum of two thousand five hundred dollars ($2,500) per year for each FTE technical position is 
allowed for mileage charges. 

(c) .Vlinimum requirements for technical positions shall be one of the following: 

(1) associated degree in engineering, agriculture, forestry or related field, or 

(2) high school diploma with two years experience in the fields listed in Rule .0006, (c), (1), of this 
Subchapter or 

(3) appropriate experience in the fields listed in Rule .0006, (c), (1) of this Subchapter. 

(d) Cost shared positions must be used to accelerate the program activities in the district. A district 
technician cost shared with program funds may work on other activities as delegated by the field office 
super\'isor but the total hours charged to the program by field office persoimel must equal or exceed 
those hours funded through the program. Also, these hours must be in addition to those hours 
normally spent in BMP planning and installation by district personnel. 

(e) District technicians may be jointly funded by more than one district to accelerate the program in 
each participating district. Each district must be eligible for cost sharing in the program. Requests for 
funding (salary, PICA, insurance, etc.) of a shared position must be presented to the division by all 
concerned districts and the division will cost share to the biUing district at a 50-50 rate based on the 
portion of the FTE provided each respective district. A shared position must be officially housed in 
one specific district and cost share for support items (office rent, telephone, etc.) wiU be paid to one 
district only. 

(f) Funds, if available, wiU be allocated to each participating district to provide for administrative costs 
under this program. These funds shall be used for clerical assistance and other related program ad- 
ministrative costs and will be matched with in-kind funds of an equal amount from the district. 

Statutory Authority G.S. 139-4; 139-8; 143-215.74; I43B-294. 

.0007 COST SHARE AGREEMENT 

(a) The landowner shall be required to sign the agreement for all practices other than conservation 
tillage and land application of animal wastes. An apphcant who is not the landowner may submit a 
long term written lease or other legal document, indicating control over the land in lieu of the land- 
owner's signature, provided the control runs the length of the life of the practice as fisted in the re- 
spective Program Year's Implementation Plan. Signature on the agreement constitutes responsibility 
for BMP maintenance and continuation. 

(b) As a condition for receiving cost share and/or cost share incentive payments for implementing 
BMP's, the apphcant shall agree to continue and maintain those practices for the minimum life as set 
forth in the Detailed Implementation Plan, effective the date the BMP's are implemented. 

(c) As a condition for receiving cost share payments, the apphcant shall agree to submit a soil test 
sample for analysis and follow the fertihzer application recommendations as close as reasonably and 
practically possible. Soil testing shall be required a minimum of ever>' two years on all cropland af- 
fected by cost share payments. Failure to soil test shall not constitute noncompliance with the cost 
share agreement. 

(d) As a condition for receiving cost share payments for waste management systems, the apphcant 
shall agree to have the waste material analyzed once every year to determine its nutrient content. If the 
waste is land apphed, the apphcant shall agree to soil test the area of application and to apply the waste 
as close as reasonably and practically possible to recommended rates. When waste is land apphed, 
waste analysis and soil testing shall be conducted annually. 

(e) The technical representative of the district shall determine if the practice(s) implemented have been 
installed according to specifications as defmed for the respective Program Ytax in the USDA-Soil 
Conservation Service Technical Guide, Section IV, Raleigh, North Carolina, or according to specifi- 
cations approved by the division for district B.MP's. The district shall be responsible for making an 



6:2i NORTH CAROLINA REGISTER March 2, 1992 1752 



PROPOSED RULES 



annua] spot check of five percent of all the participating farms to ensure proper maintenance. Waste 
management systems will receive annual status reviews for five years following implementation. 

(fj if tfee tochnicol roprooontatis'e »f tke district dotorminos tbat practioo(s) fof which eest sharing was 
r i eceivgd hav e boon dostroyod ef hav e Hot boon proporly maintainod, the fefm^ wi^ be notifiod that the 
ee^ r . harod practices must be ropaired ef roimplomontod within »«# colondar yoar. If the technical 
representative of the district determines that a BMP for which cost sharing was received has been de- 
stroved or has not been properly maintamed, the applicant will be notified that the BMP must be re- 
paired or re-implemented within 30 working davs. For vegetative practices, apphcants are given one 
calendar year to re-establish the vegetation. The distnct may grant a prescribed extension period if it 
determines comphance can not be met due to circumstances beyond the applicants control. 

(g) If the practices are not repaired or reimplemented within the specified time, the applicant shall 
be required to repay to the di\'ision a prorated amount as shown in Table 1 and or 1 00 percent of the 
cost share incentive payments received during the current fiscal year. 

Table 1 

PRORATED REFUND SCHEDULE FOR NONCOMPLIANCE 

OF COST SHARE PAYMENTS 

Percent Age of Practice Life Percent Refund 

100 

10 95 

20 89 

30 82 

40 74 

50 65 

60 55 

70 44 

80 31 

90 17 

100 

(h) An apphcant who has been found in noncompUance and who does not agree to repair or reim- 
plement the cost shared practices shall have the right to app>eal to the district. .Appeals must be received 
by the district within 30 days of issuance of the notice of noncompliance. The districts have 60 days 
to respond to appeals. In situations in which the applicant and the district continue to disagree after 
the appeals process, both parties may within 30 days of the district appeal decision jointly request the 
commission to informally mediate the case. To invoke this method of mediation, both parties must 
stipulate that the commission mediation is bindmg and that all further re\'iews and appeals are waived 
and abandoned. 

(i) /\n apphcant shall have a maximum of 1 80 days to make repayment to the division following the 
fmal appeals process. 

(j) TTie inability to properly maintain cost shared practices or the destruction of such practices 
through no fault of the apphcant shall not be considered as noncomphance with the cost share agree- 
ment. 

(k) When land under cost share agreement changes owners the new landowner shall be strongly en- 
couraged by the district to continue and maintain practice(s) previously implemented. 



Statutory Authority G.S. 139-8; 143-215.74. 



■k-k-k*-k-k*-k-k-k-k-k*-k-k-k-k-k 



K 



1 he public hearing will be conducted at 4:00 

p.m. on March 26, 1992 at the Holiday Inn, 1706 

otice is hereby gi\-en in accordance with G.S. \orth Lumina Avenue, Wrights\-ille Beach, NC 



I50B-2I.2 that the EHSR - Coastal Management 28480. 

intends to amend rule(s) cited as ISA SCAC 7H ^ 

.0208 - .0209, .0308. IXeason for Proposed Action: The purpose for 



these amendments is to make rules clearer and 
he proposed effect i\'e date of this action is Au- consistent with definitions of AECs presented in 



Ti 

gust 3, 1992. other parts of our rules. 



1753 6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



O omment Procedures: A 11 persons interested in 
this matter are invited to attend the public hearing. 
The Coastal Resources Commission will receive 
written comments up until April I, 1992. Any 
person desiring to present lengthy comments is 
requested to submit a written statement for inclu- 
sion in the record of proceedings at the public 
hearing. Additional information concerning the 
hearing or the proposals may be obtained by con- 
tacting Dedra Blackwell, Division of Coastal 
Management, P.O. Box 27687, Raleigh, NC 
27611-7687, (919) 733-2293. 

CHAPTER 7 - COASTAL MANAGEMENT 

SUBCHAPTER 7H - STATE GLIDELFNES FOR 
AREAS OF ENVIRONMENTAL CONCERN 

SECTION .0200 - THE ESTUARINE SYSTEM 

.0208 LSE STANDARDS 

(a) General Use Standards 

(1) Uses which are not water dependent will 
not be permitted in coastal wetlands, 
estuarine waters, and public trust watoro. 
areas. Restaurants, residences, apart- 
ments, motels, hotels, trailer parks, private 
roads, factories, and parking lots are ex- 
amples of uses that are not water depend- 
ent. Uses that are water dependent may 
include: utility easements; docks; wharfs; 
boat ramps; dredging; bridges and bridge 
approaches; revetments, bulkheads 
culverts; groins; navigational aids 
mooring pilings; navigational channels 
simple access channels and drainage 
ditches. 

(2) Before being granted a permit by the CRC 
or local permitting authority, there shall 
be a fmding that the applicant has com- 
plied with the following standards: 

(A) The location, design, and need for de- 
velopment, as well as the construction 
activities involved must be consistent with 
the stated management objective. 

(B) Before receiving approval for location 
of a use or development within these 
AECs, the permit-letting authority shall 
fmd that no suitable alternative site or lo- 
cation outside of the AEC exists for the 
use or development and, further, that the 
applicant has selected a combination of 
sites and design that will have a minimum 
adverse impact upon the productivity and 
biologic integrity of coastal marshland, 
shellfish beds, submerged grass beds, 
spawning and nursery areas, important 
nesting and wintering sites for waterfowl 



and wildlife, and important natural ero- 
sion barriers (cypress fringes, marshes, 
clay soils). 

(C) Development shall not violate water 
and air quality standards. 

(D) Development shall not cause major or 
irreversible damage to valuable docu- 
mented archaeological or historic re- 
sources. 

(E) Development shall not measurably in- 
crease sUtation. 

(F) Development shall not create stagnant 
water bodies. 

(G) Development shall be limed to have 
minimum adverse significant affect on life 
cycles of estuarine resources. 

(H) Development shall not impede naviga- 
tion or create undue interference with ac- 
cess to, or use of, public trust areas or 
estuarine waters. 

(I) Development proposed in estuarine wa- 
ters must also be consistent with applica- 
ble standards for the ocean hazard system 
AECs set forth in Section .0300 of this 
Subchapter. 

(3) When the proposed development is in 
conflict with the general or specific use 
standards set forth in this Rule, the CRC 
may approve the development if the ap- 
plicant can demonstrate that the activity 
associated with the proposed project wiU 
have public benefits as identified in the 
fmdings and goals of the Coastal Area 
Management Act, that the public benefits 
clearly outweigh the long range adverse 
effects of the project, that there is no rea- 
sonable and prudent alternate site avail- 
able for the project, and that all 
reasonable means and measures to miti- 
gate ad\erse impacts of the project have 
been incorporated into the project design 
and wiU be implemented at the applicant's 
expense. These measures taken to miti- 
gate or minimize adverse impacts may in- 
clude actions that will: 

(A) minimize or avoid adverse impacts by 
limiting the magnitude or degree of the 
action; 

(B) restore the affected envirormient; or 

(C) compensate for the adverse impacts by 
replacing or providing substitute re- 
sources. 

(4) Primary' nursery areas are those areas in 
the estuarine system where initial post 
larval development of finfish and 
crustaceans takes place. They are usually 
located in the uppermost sections of a 
system where populations are uniformly 



6:25 NORTH CAROLINA REGISTER March 2, 1992 



1754 



PROPOSED RULES 



early juvenile stages. They are officially 
designated and described by the N.C. 
Marine Fishenes Commission in 15A 
NCAC 3B .1405 and by the N.C. Wildlife 
Resources Commission in 15A NCAC 
IOC .0110. 
(5j Outstanding Resource \\'aters are those 
estuarine waters and public trust wat e rs 
areas classified by the N.C. Environ- 
mental Management Commission pursu- 
ant to Title 15A, Subchapter 2B .0216 of 
the N.C. Admmistrative Code as Out- 
standing Resource Waters (ORW) upon 
fmding that such waters are of exceptional 
state or national recreational or ecological 
significance. In those estuarine waters 
and public trust V r atoro areas classified as 
ORW by the EnvLronmental Management 
Commission (E.MCj, no permit required 
by the Coastal .Area Management Act wUl 
be approved for any project which would 
be inconsistent with applicable use stand- 
ards adopted b\ the CRC, E.MC, or .Ma- 
rine fisheries Commission (.MFC) for 
estuarine waters, public trust waters. 
areas, or coastal wetlands. For develop- 
ment activities not covered by specific use 
standards, no permit wiU be issued if the 
acti\ity would, based on site specific in- 
formation, materially degrade the water 
quality or outstanding resource values 
unless such degradation is temporary, 
(b) Specific Use Standards 
(I) Navigation channels, canals, and boat 
basins must be aligned or located so as to 
a\oid primary nurserv' areas highly pro- 
ductive shellfish beds, beds of submerged 
\egetation, or significant areas of regularly 
or irregularly flooded coastal wetlands. 

(A) Na\igation channels and canals can be 
allowed through narrow fringes of regu- 
larly and irregularly flooded coastal 
wetlands if the loss of wetlands will have 
no significant adverse impacts on fishery 
resources, water quality or adjacent 
wetlands, and. if there is no reasonable 
alternative that would a\oid the wetland 
losses. 

(B) AH spoil material from new con- 
struction shall be confmed landward of 
regularly and irregularl\ flooded coastal 
wetlands and stabilized to prevent entry 
of sediments into the adjacent water 
bodies or marsh. 

(Cj Spoil from maintenance of channels 
and canals through irregularly flooded 
wetlands shall be placed on non-wetland 
areas, remnant spoil piles, or disposed of 



by an acceptable method having no sig- 
nificant, long term wetland impacts. Un- 
der no circumstances shall spoil be placed 
on regularly flooded wetlands. 
(Dj Widths of the canals and charmels shall 
be the minimum required to meet the ap- 
plicant's needs and provide adequate wa- 
ter circulation. 

(E) Boat basin design shall maximize water 
exchange by having the widest possible 
opening and the shortest practical en- 
trance canal. Depths of boat basins shall 
decrease from the waterward end inland. 

(F) Any canal or boat basin shall be exca- 
vated no deeper than the depth of the 
connecting channels. 

(G) Canals for the purpose of multiple res- 
idential development shall have: 

(ij no septic tanks unless they meet the 
standards set by the Division of Envi- 
ronmental Management and the Divi- 
sion of Environmental Health; 
(ii) no untreated or treated point source 

discharge; 
(ui) storm water routing and retention 
areas such as settling basins and grassed 
swales. 
(H) Construction of fmger canal systems 
win not be allowed. Canals shall be either 
straight or meandering with no right angle 
comers. 
(Fj Canals shall be designed so as not to 
create an erosion hazard to adjoining 
property. Design may include 

bulkheadmg, vegetative stabihzation, or 
adequate setbacks based on sod charac- 
teristics. 
(J) Maintenance excavation in canals, 
channels and boat basms within primary 
nurserv" areas should be avoided. How- 
ever, when essential to maintain a tradi- 
tional and established use, maintenance 
excavation may be approved if the appli- 
cant meets all of the following criteria as 
shown by clear and convincing evidence 
accompanying the permit appHcation. 
This Rule does not affect restrictions 
placed on permits issued after March 1, 
1991. 

(i) The applicant can demonstrate and 
document that a water-dependent need 
exists for the excavation; and 
(ii) There exists a previously permitted 
channel which was constructed or 
maintained under permits issued by the 
State and or Federal government. If a 
natural channel was in use, or if a 
human-made channel was constructed 



1755 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



before permitting was necessary, there 
must be clear evidence that the channel 
was continuously used for a specific 
purpose; and 
(iii) Excavated material can be removed 
and placed in an approved disf)osal area 
without significantly impacting adjacent 
nursery areas; and 
(iv) The original depth and width of a 
human-made or natural channel will 
not be increased to allow a new or ex- 
panded use of the channel. 
(2) Hydraulic Dredging 

(A) The terminal end of the dredge pipeline 
should be positioned at a distance suffi- 
cient to preclude erosion of the contain- 
ment dike and a maximum distance from 
spiUways to allow adequate settlement of 
suspended solids. 

(B) Dredge spoU must be either confmed 
on high ground by adequate retaining 
structures or if the material is suitable, 
deposited on beaches for purposes of 
renourishment, with the exception of (G) 
of this Subsection (b)(2). 

(C) Confmement of excavated materials 
shall be on high ground landward of reg- 
ularly and irregularly flooded marshland 
and with adequate soil stabilization meas- 
ures to prevent entry of sediments into the 
adjacent water bodies or marsh. 

(D) Effluent from diked areas receiving 
disposal from hydrauhc dredging oper- 
ations must be contained by pip>e, trough, 
or similar device to a point waterward of 
emergent vegetation or, where local con- 
ditions require, below mean low water. 

(E) When possible, effluent from diked 
disposal areas shall be returned to the area 
being dredged. 

(F) A water control structure must be in- 
stalled at the intake end of the effluent 
pipe. 

(G) Publicly funded projects will be con- 
sidered by review agencies on a case by 
case basis with respect to dredging meth- 
ods and spoil disposal. 

(H) Dredge spoil from closed shellfish wa- 
ters and effluent from diked disposal areas 
used when dredging in closed shellfish 
waters shall be returned to the closed 
shellfish waters. 
(3) Drainage Ditches 

(A) Drainage ditches located through any 
marshland shall not exceed six feet wide 
by four feet deep (from ground surface) 
unless the apphcant can show that larger 



ditches are necessary for adequate drain- 
age. 

(B) Spoil derived from the construction or 
maintenance of drainage ditches through 
regularly flooded marsh must be placed 
landward of these marsh areas in a man- 
ner that will insure that entry of sediment 
into the water or marsh will not occur. 
Spoil derived from the construction or 
maintenance of drainage ditches through 
irregularly flooded marshes shall be placed 
on non-wetlands wherever feasible. 
Non-wetland areas include reUc disposal 
sites. 

(C) Excavation of new ditches through high 
ground shall take place landward of a 
temporary earthen plug or other methods 
to minimize sdtation to adjacent water 
bodies. 

(D) Drainage ditches shall not have a sig- 
nificant adverse effect on primary nursery 
areas, productive shellfish beds, sub- 
merged grass beds, or other documented 
important estuarine habitat. Particular 
attention should be placed on the effects 
of freshwater inflows, sediment, and nu- 
trient introduction. Settling basins, water 
gates, retention structures are examples of 
design alternatives that may be used to 
minimize sediment introduction. 

(4) Nonagricultural Drainage 

(A) Drainage ditches must be designed so 
that restrictions in the volume or diver- 
sions of flow are minimized to both sur- 
face and ground water. 

(B) Drainage ditches shall provide for the 
passage of migratory organisms by allow- 
ing free passage of water of sufficient 
depth. 

(C) Drainage ditches shaU not create stag- 
nant water pools or significant changes in 
the velocity of flow. 

(D) Drainage ditches shall not divert or re- 
strict water flow to important wetlands or 
marine habitats. 

(5) Marinas. Marinas are defmed as any 
publicly or privately owned dock, basin 
or wet boat storage facility constructed to 
accommodate more than 10 boats and 
providing any of the following ser\ices: 
permanent or transient docking spaces, 
dry storage, fueling facihties, haulout fa- 
cilities and repair service. Excluded from 
this definition are boat ramp facilities al- 
lowing access only, temporary docking 
and none of the preceding services. Ex- 
pansion of existing facihties shall also 
comply with these standards for all devel- 



6:25 NORTH CAROLINA REGISTER March 2, 1992 



1756 



PROPOSED RULES 



opment other than maintenance and re- 
pair necessary' to maintain previous 
service levels. 
(Aj Marinas shall be sited in non-wetland 
areas or in deep waters (areas not requir- 
ing dredging) and shall not disturb valu- 
able shallow water, submerged aquatic 
vegetation, and wetland habitats, except 
for dredging necessary' for access to high- 
ground sites. The following four alterna- 
tives for siting marinas are listed in order 
of preference for the least damaging alter- 
native; marina projects shall be designed 
to have the highest of these four priorities 
that is deemed feasible by the permit let- 
ting agency: 

(i) an upland basin site requiring no al- 
teration of wetland or estuarine habitat 
and providing adequate flushing by tidal 
or wind generated water circulation; 
(ii) an upland basin site requiring dredg- 
ing for access when the necessary 
dredging and operation of the marina 
will not result in the significant degra- 
dation of existing fishery, shellfish, or 
wetland resources and the basin design 
shall provide adequate flushing by tidal 
or wind generated water circulation; 
(iii) an open water site located outside a 
primary nursery area which utilizes 
piers or docks rather than channels or 
canals to reach deeper water; and 
(iv) an open water marina requiring ex- 
cavation of no intertidal habitat, and no 
dredging greater than the depth of the 
connecting channel. 

(B) Marinas which require dredging shall 
not be located in primary nursery areas 
nor in areas which require dredging 
through primary nursery areas for access. 
Maintenance dredging in primary nursery 
areas for existing marinas wiU be consid- 
ered on a case-by-case basis. 

(C) To minirriLze coverage of public wat e rs 
trust areas by docks and moored vessels, 
dp,' storage marinas shall be used ■where 
feasible. 

(D) Marinas to be developed in waters 
subject to public trust rights (other than 
those created by dredging upland basins 
or canals) for the purpose of providing 
docking for residential developments shall 
be allowed no more than 27 sq. ft. of 
public trust waters areas for every one lin. 
ft. of shoreline adjacent to these public 
trust watoro areas for construction of 
docks and mooring facilities. The 27 sq. 
ft. allocation shall not apply to fairway 



areas between parallel piers or any portion 
of the pier used only for access from land 
to the docking spaces. 

(E) To protect water quality of shellfishing 
areas, marinas shall not be located within 
areas where shellfish harvesting for human 
consumption is a significant existing use 
or adjacent to such areas if sheUfish har- 
vest closure is anticipated to result from 
the location of the marina. In compliance 
with Section 101(a)(2) of the Clean Water 
Act and North Carolina Water Quality 
Standards adopted pursuant to that sec- 
tion, shellfish harvesting is a significant 
existing use if it can be established that 
shellfish have been regularly harvested for 
human consumption since November 28, 
1975 or that shellfish apparently are 
propagating and sur\'iving in a biologically 
suitable habitat and are available and 
suitable for harvesting for the purpose of 
human consumption. The Division of 
Marine Fisheries shall be consuhed re- 
garding the significance of shellfish harvest 
as an existing use and the magnitude of 
the quantities of shellfish which have been 
harvested or are available for har\'est in 
the area where harvest will be affected by 
the development. 

(F) Marinas shall not be located without 
written consent from the controlling par- 
ties in areas of submerged lands which 
have been leased from the state or deeded 
by the state. 

(G) Manna basins shall be designed to 
promote flushing through the following 
design cnteria: 

(i) the basin and channel depths shall 
gradually increase toward open water 
and shall never be deeper than the wa- 
ters to which they connect; and 
(ii) when possible, an opening shall be 
provided at opposite ends of the basin 
to establish flow-through circulation. 
(H) Marinas shaU be designed to minimize 
adverse effects on navigation and public 
use of waturo pubhc trust areas ■while al- 
lowing the apphcant adequate access to 
deep waters. 
(I) \Iarinas shall be located and constructed 
so as to avoid adverse impacts on naviga- 
tion throughout all federaUy maintained 
channels and their immediate boundaries. 
This includes mooring sites (permanent 
or temporary ), speed or traffic reductions, 
or any other device, either physical or 
regulatory, that may cause a federally 
maintained channel to be restricted. 



1757 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(J) Open water marinas shall not be en- 
closed within breakwaters that preclude 
circulation sufficient to maintain water 
quality. 

(K) Marinas which require dredging shall 
provide acceptable areas to accommodate 
disposal needs for future maintenance 
dredging. Proof of the ability to truck the 
spoil material from the marina site to an 
acceptable disposal area will be accepta- 
ble. 

(L) Marina design shall comply with all 
applicable requirements for management 
of stormwater runoff. 

(M) Marinas shall post a notice prohibiting 
the discharge of any waste from boat toi- 
lets and explaining the availability of in- 
formation on local pump-out services. 

(N) Boat maintenance areas must be de- 
signed so that all scraping, sandblasting, 
and painting will be done over dry land 
with adequate containment devices to 
prevent entry of waste materials into ad- 
jacent waters. 

(O) All marinas shall comply with aU ap- 
plicable standards for docks and piers, 
bulkheading, dredging and spoil disposal. 

(P) All applications for marinas shall be 
reviewed to determine their potential im- 
pact and compliance with applicable 
standards. Such review shall consider the 
cumulative impacts of marina develop- 
ment. 

(Q) Replacement of existing marinas to 
maintain previous service levels shall be 
allowed provided that the preceding rules 
are complied with to the maximum extent 
possible, with due consideration being 
given to replacement costs, service needs, 
etc. 
(6) Docks and Piers 

(A) Docks and piers shall not significantly 
interfere with water flows. 

(B) To preclude the adverse effects of 
shading coastal wetlands vegetation, docks 
and piers built over coastal wetlands shall 
not exceed six feet in width. "T"s and 
platforms associated with residential piers 
must be at the waterward end, and must 
not exceed a total area of 500 sq. ft. with 
no more than six feet of the dimension 
perpendicular to the marsh edge extending 
over coastal wetlands. Water dependent 
projects requiring piers or wharfs of di- 
mensions greater than those stated in this 
Rule shall be considered on a case-by-case 
basis. 



(C) Piers shall be designed to minimize ad- 
verse effects on navigation and public use 
of waters while allowing the apphcant ad- 
equate access to deep waters by: 

(i) not extending beyond the established 
pier length along the same shoreline for 
similar use; 

(ii) not extending into the channel por- 
tion of the water body; and 

(iii) not extending more than one-third 
the width of a natural water body or 
man-made canal or basin. Measure- 
ments to determine widths of the chan- 
nels, canals or basias shall be made 
from the waterward edge of any coastal 
wetland vegetation which borders the 
water body. The one-third length lim- 
itation will not apply in areas where the 
U.S. Army Corps of Engineers, or a 
local government in consultation with 
the Corps of Engineers, has established 
an official pier- head line. 

(D) Pier alignments along federally main- 
tained channels must meet Corps of En- 
gineers District guidelines. 

(E) Piers shall not interfere with the access 
to any riparian property and shall have a 
minimum setback of 15 feet between any 
part of the pier and the adjacent property 
owner's areas of riparian access. The line 
of division of areas of riparian access shall 
be established by drawing a line along the 
channel or deep water in front of the 
properties, then drawing a hne perpendic- 
ular to the line of the charmel so that it 
intersects with the shore at the point the 
upland property hne meets the water's 
edge. The minimum setback provided in 
the rule may be waived by the written 
agreement of the adjacent riparian 
owner(s) or when two adjoining riparian 
owners are co-apphcants. Should the ad- 
jacent property be sold before con- 
struction of the pier commences, the 
applicant shall obtain a written agreement 
with the new owner waiving the minimum 
setback and submit it to the permitting 
agency prior to initiating any development 
of the pier. Apphcation of this rule may 
be aided by reference to an approved dia- 
gram illustrating the rule as apphed to 
various shoreline configurations. Copies 
of the diagram may be obtained from the 
Division of Coastal Management. 

(F) Docks and piers shall not significantly 
interfere with shellfish franchises or leases. 
AppUcants for authorization to construct 
a dock or pier shall provide notice of the 



6:23 NORTH CAROLINA REGISTER March 2. 1992 



1758 



PROPOSED RULES 



permit application or exemption request 
to the owner of any part of a shellfish 
franchise or lease over which the proposed 
dock or pier would extend. 
(7) Bulkheads and Shore Stabilization Meas- 
ures 

(A) Bulkhead ahgnment, for the purpose 
of shoreline stabilization, must approxi- 
mate mean high water or normal water 
level. 

(B) Bulkheads shall be constructed 
landward of significant marshland or 
marshgrass fringes. 

(C) Bulkhead fiU material shall be obtained 
from an approved upland source, or if the 
bulkhead is a part of a permitted project 
involving excavation from a non-upland 
source, the material so obtained may be 
contained behind the bulkhead. 

(D) Bulkheads or other structures em- 
ployed for shoreline stabilization shall be 
permitted below approximate mean high 
water or normal water level only when the 
following standards are met: 

(i) the property to be bulkheaded has an 
identifiable erosion problem, whether it 
results from natural causes or adjacent 
bulkheads, or it has unusual geographic 
or geologic features, e.g. steep grade 
bank, which will cause the applicant 
unreasonable hardship under the other 
provisions of this Regulation; 

(ii) the bulkhead alignment extends no 
further below approximate mean high 
water or normal water level than neces- 
sary to allow recover)' of the area 
eroded in the year prior to the date of 
application, to align with adjacent 
bulkheads, or to mitigate the unreason- 
able hardship resulting from the unu- 
sual geographic or geologic features; 

(iii) the bulkhead ahgnment will not re- 
sult in significant adverse impacts to 
pubhc trust rights or to the property of 
adjacent riparian owners; 

(iv) the need for a bulkhead below ap- 
proximate mean high water or normal 
water level is documented in the Field 
Investigation Report or other reports 
prepared by the Di\ision of Coastal 
Management; and 

(v) the property to be bulkheaded is in a 
nonoceanfront area. 

(E) Where possible, sloping rip-rap, 
gabions, or vegetation may be used rather 
than vertical seawalls. 

(8) Beach Nourishment 



(A) Beach creation and/or maintenance 
may be allowed to enhance water related 
recreational facilities for public, commer- 
cial, and pnvate use. 

(B) Beaches can be created and or main- 
tained in areas where they have histor- 
ically been found due to natural processes. 
They wiU not be allowed in areas of high 
erosion rates where frequent maintenance 
will be necessary. 

(C) Placing unconfmed sand material in the 
water and along the shoreline will not be 
allowed as a method of shoreline erosion 
control. 

(D) Material placed in the water and along 
the shoreline shall be clean sand free from 
pollutants and highly erodible fmger ma- 
terial. Grain size shall be equal to or 
larger than that found naturally at the site. 

(E) Material from dredging projects can be 
used for beach nounshment if: 

(i) it is first handled in a manner consist- 
ent with regulations governing spoil 
disposal; 

(ii) it is allowed to dr> for a suitable pe- 
riod: and 

(iii) only that material of acceptable grain 
size is removed from the disfxjsal site 
for placement on the beach. Material 
shall not be placed directly on the beach 
by dredge or dragline during mainte- 
nance excavation. 

(F) Beach creation shall not be allowed in 
any primary nursery areas, nor in any 
areas where siltation from the site would 
pose a threat to shellfish beds. 

(G) Material shall not be placed on any 
coastal wetlands or submerged aquatic 
vegetation. 

(H) Material shall not be placed on any 
submerged bottom with significant 
shellfish resources. 

(I) Beach construction shall not create the 
potential for fiUmg adjacent or nearby 
navigation channels, canals, or boat 
basins. 

(J) Beach construction shall not violate 
water quahty standards. 

(K) Permit renewal of these projects shall 
require an e\'aluation of any adverse im- 
pacts of the original work. 

(L) Permits issued for this development 
shall be limited to authorizing beach 
nourishment only one time dunng the life 
of the permit. Permits may be renewed 
for maintenance work or repeated need for 
nourishment. 
(9) Wooden and Riprap Groins 



1759 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(A) Groins shall not extend more than 25 
ft. waterward of the mean high water or 
normal water level unless a longer struc- 
ture can be justified by site specific con- 
ditions, sound engineering and design 
principals. 

(B) Groins shall be set back a minimum of 
15 ft. from the adjoining property lines. 
This setback may be waived by written 
agreement of the adjacent riparian 
owner(s) or when two adjoining riparian 
owners are co-applicants. Should the ad- 
jacent property be sold before con- 
struction of the groin commences, the 
applicant shall obtain a written agreement 
with the new owner waiving the minimum 
setback and submit it to the permitting 
agency prior to initiating any development 
of the groin. 

(C) Groins shall f>ose no threat to naviga- 
tion. 

(D) The height of groins shall not exceed 1 
ft. above mean high water or the normal 
water level. 

(E) No more than two structures shall be 
allowed per 100 ft. of shoreline unless the 
applicant can provide evidence that more 
structures are needed for shoreline stabili- 
zation. 

(F) "L" and "T" sections shall not be al- 
lowed at the end of groins. 

(G) Riprap material used for groin con- 
struction shall be free from loose dirt or 
any other pollutant in other than non- 
harmful quantities and of a size sufficient 
to prevent its movement from the site by 
wave and current action. 

Statutory Authority G.S. 1 ISA- 1 07(b); 
I13A-I08; II3A-Il3(b): II3A-I24. 

.0209 ESTUARINE SHORELINES 

(a) Rationale. As an AEC, estuarine 
shorelines, although characterized as dry land, are 
considered a component of the estuanne system 
because of the close association with the adjacent 
estuarine waters. This Section defmes estuarine 
shorelines, describes the significance, and artic- 
ulates standards for development. 

(b) Description. Estuarine shorelines are those 
non-ocean shorelines which are especially vul- 
nerable to erosion, flooding, or other adverse ef- 
fects of wind and water and are intimately 
cormected to the estuary. This area extends from 
the mean high water level or normal water level 
along the estuaries, sounds, bays, and brackish 
waters as set forth in an agreement adopted by 
the Wildlife Resources Commission and the De- 



partment of Environment, Health, and Natural 
Resources [described in Rule .0206(a) of this 
Section] for a distance of 75 feet landward. For 
those estuarine shorelines immediately contig- 
uous to waters classified as Outstanding Re- 
source Waters by the Environmental 
Management Commission, the estuarine 
shoreline AEC shall extend to 575 feet landward 
from the mean high water level or normal water 
level, unless the Coastal Resources Commission 
establishes the boundary at a greater or lesser 
extent following required public hearing(s) within 
the affected county or counties. 

(c) Significance. Development within estuarine 
shorelines influences the quality of estuarine hfe 
and is subject to the damaging processes of shore 
front erosion and flooding. 

(d) Management Objective. To ensure 
shoreline development is compatible with both 
the dynamic nature of estuarine shorelines and 
the values of the estuarine system. 

(e) Use Standards 

(1) AU development projects, proposals, and 
designs shall substantially preserve and 
not weaken or eliminate natural barriers 
to erosion, including, but not limited to, 
peat marshland, resistant clay shorelines, 
and cypress-gum protective fringe areas 
adjacent to \'ulnerable shorelines. 

(2) All development projects, proposals, and 
designs shall limit the construction of 
impervious surfaces and areas not allow- 
ing natural drainage to only so much as 
is necessary to adequately service the ma- 
jor purpose or use for which the lot is to 
be developed. Impervious surfaces shall 
not exceed 30 percent of the AEC area of 
the lot, unless the applicant can effectively 
demonstrate, through innovative design, 
that the protection provided by the design 
would be equal to or exceed the pro- 
tection by the 30 percent limitation. Re- 
development of areas exceeding the 30 
percent impervious surface limitation can 
be permitted if impervious areas are not 
increased and the applicant designs the 
project to comply with the intent of the 
rule to the maximum extent practical. 

(3) AU development projects, proposals, and 
designs shall comply with the following 
mandatory standards of the North 
Carolina Sedimentation Pollution Control 
Act of 1973: 

(A) AU development projects, proposals, 
and designs shaU provide for a buffer zone 
along the margin of the estuarine water 
which is sufficient to confine visible 
siltation within 25 percent of the buffer 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1760 



PROPOSED RULES 



zone nearest the land disturbing develop- 
ment. 

(B) No development project proposal or 
design shall permit an angle for graded 
slopes or fill which is greater than an angle 
which can be retained by vegetative cover 
or other adequate erosion-control devices 
or structures. 

(C) All development projects, proposals, 
and designs which involve uncovering 
more than one acre of land shall plant a 
ground cover sufficient to restrain erosion 
within 30 working days of completion of 
the grading: pro%'ided that this shall not 
apply to clearing land for the purpose of 
forming a reservoir later to be inundated. 

(4) Development shall not have a significant 
adverse impact on estaurine resources. 

(5) Development shall not significantly inter- 
fere with existing public rights of access 
to, or use of navigable waters or public 
resources. 

(6) No major public facility shall be permitted 
if such facihty is likely to require extraor- 
dinary public expenditures for mainte- 
nance and continued use, unless it can be 
shown that the public purpose ser\ed by 
the facility outweighs the required pubhc 
expenditures for construction, mainte- 
nance, and continued use. For the pur- 
pose of this standard, "public facility" 
shall mean a project which is paid for in 
any part by pubhc funds. 

(7) Development shall not cause major or ir- 
reversible damage to valuable, docu- 
mented historic architectural or 
archaeological resources. 

(8) Estabhshed common-law and statutory 
public rights of access to the pubhc trust 
lands and waters in estuarine areas shall 
not be eliminated or restricted. Develop- 
ment shall not encroach upon public 
accessways nor shall it hmit the intended 
use of the accessways. 

(9) Within the AEC for shorelines contiguous 
to waters classified as Outstanding Re- 
source Waters by the E.MC, no CAMA 
permit will be approved for any project 
which would be inconsistent with apph- 
cable use standards adopted by the CRC, 
EMC or .MFC for estuarine waters, pubhc 
trust wat e ro. areas, or coastal wetlands. 
For development activities not covered by 
specific use standards, no permit will be 
issued if the activity would, based on site 
specific information, materially degrade 
the water quality or outstanding resource 



values unless such degradation is tempo- 
rary, 
(f) Specific Use Standards for ORW Estuarine 
Shorelines. 

(1) Within the AEC for estuarine shorelines 
contiguous to waters classified as ORW 
by the EMC, all development projects, 
proposals, and designs shall limit the built 
upon area to no more than 25 percent of 
the AEC area of the land to be developed 
or any lower site specific percentage as 
adopted by the E.MC as necessar>' to pro- 
tect the exceptional water quahty and 
outstanding resource values of the ORW, 
and shall: 

(A) have no stormwater coUection system; 

(B) provide a buffer zone of at least 30 feet 
from the mean high water line; 

(C) otherwise be consistent with the use 
standards set out in Paragraph (e) of this 
Rule. 

(2) Development (other than single-family 
residential lots) more than 75 feet from 
the mean high water line but within the 
AEC which as of June 1, 1989: 

(A) has a CAMA permit apphcation in 
process, or 

(B) has received preliminary subdivision 
plat approval or prehminary site plan ap- 
proval under appUcable local ordinances, 
and in which substantial financial re- 
sources have been in\'ested in design or 
improvement; 

will be permitted in accordance with rules 
and standards in effect as of June 1, 1989. 

(3) Single-family residential lots which would 
not be buildable under the low-density 
standards defmed in Paragraph (f)(1) of 
this Rule may be developed for single- 
family residential purposes so long as the 
development complies with those stand- 
ards to the maximum extent possible. 

(4) For ORW's nominated subsequent to 
June 1, 1989, the effective date in Para- 
graph (0(2) of this Rule shall be the dates 
of nomination by the EMC. 

Statutory Authority G.S. II3A-I07(b); 
II3A-I08; H3A-1 13(b); 1I3A-I24. 

SECTION .0300 - OCEAN HAZARD AREAS 

.0308 SPECIFIC LSE STANDARDS 

(a) Ocean Shoreline Erosion Control Activities: 

(1) Use Standards Applicable to all Erosion 

Control Activities: 

(A) Preferred erosion control measures shall 

be beach nourishment projects and relo- 



1761 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



cation. Alternative approaches will be 
allowed where the applicant can show that 
such measures are necessary to provide 
adequate protection. Comprehensive 
shoreline management shall be preferred 
over small scale methods. 

(B) Erosion control structures which cause 
significant adverse impacts on the value 
and enjoyment of adjacent properties or 
public access to and use of the ocean 
beach are prohibited. Such structures in- 
clude, but are not limited to, wooden 
bulkheads, seawalls, rock or rubble 
revetments, wooden, metal, concrete or 
rock jetties, groins and breakwaters; 
concrete-fdled sandbags and tire struc- 
tures. 

(C) Rules concerning the use of oceanfront 
erosion control measures apply to all 
oceanfront properties without regard to 
the size of the structure on the property 
or the date of its construction. 

(D) Erosion control measures which will 
interfere with public access to and use of 
the ocean beaches are prohibited. 

(E) Erosion control measures which signif- 
icantly increase erosion on adjacent prop- 
erties are prohibited. 

(F) All oceanfront erosion control activities, 
other than beach bulldozing, placement 
of sandbag structures or artificial seaweed 
shall demonstrate sound engineering for 
their planned purpose and shall be certi- 
fied by a Ucensed engineer prior to being 
permitted. 

(G) Shoreline erosion control projects shall 
not be constructed in beach or estuarine 
areas that sustain substantial habitat for 
important wildlife species unless adequate 
mitigation measures are incorporated into 
project design, as set forth in Rule .0306(i) 
of this Section. 

(H) Project construction shall be timed to 
have minimum significant ad%'erse effect 
on biological activity. 

(I) The applicant shall notify all littoral 
property owners within 100' of the 
boundaries of the project site and no per- 
mit shall be issued until the property 
owner(s) has signed the notice form or 
until a reasonable effort has been made to 
serve notice on the owner(s) by registered 
or certified mail. 

(J) All oceanfront erosion control projects 
shall be consistent with the general policy 
statements m 15A NCAC 7M .0200. 

(K) Prior to beginning any beach 

nourishment or structural erosion control 



project, all exposed remnants of or debris 
from failed erosion control structures 
must be removed by the permittee. 
(L) All permitted erosion control devices 
shall be marked so as to allow identifica- 
tion for monitoring and potential cleanup 
purposes. 
(M) Erosion control structures that would 
otherwise be prohibited by these standards 
may be permitted on fmding that: 
(i) the erosion control structure is neces- 
sary' to protect a bridge which provides 
the only existing road access to a sub- 
stantial population on a barrier island; 
that is vital to pubhc safety; and is 
imminently threatened by erosion; 
(ii) the preferred erosion control meas- 
ures of relocation, beach nourishment 
or temporary' stabilization are not ade- 
quate to protect public health and 
safety; and 
(ui) the proposed erosion control meas- 
ure will have no adverse impacts on 
adjacent properties in private ownership 
and will have minimal impacts on pub- 
lic use of the beach. 
(2) Temporary Erosion Control Structures 

(A) Permittable temporary erosion control 
structures include only the following: 

(i) Bulkheads or similar structures made 
of sandbags or comparable materials; 

(ii) Low sandbag groins or sandbag 
sediment trapping structures above 
mean high water provided they are 
continuously buried by suitable sand 
from an outside source. 

(B) Temporary erosion control structures 
as defmed in (A) of this Paragraph may 
be used only to protect imminently 
threatened structures. Normally, a struc- 
ture win be considered to be imminently 
threatened if its foundation is less than 20 
feet away from the erosion scarp. 

(C) Shore-parallel temporary erosion con- 
trol structures must not extend more than 
20 feet past the end of the structure to be 
protected. The erosion control structure 
also must not come closer than 1 5 feet to 
the applicant's side property lines unless 
the apphcation is part of a joint project 
with neighbors trying to protect similarly 
threatened structures or unless the appli- 
cant has written permission from the af- 
fected property owner. The landward side 
of such temporary erosion control struc- 
tures shall not be located more than 20 
feet seaward of the property to be pro- 
tected. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1762 



PROPOSED RULES 



(3) 



(D) If a tcmporar\' erosion control structure 
interferes with public access and use of the 
ocean beach, or if it requires burial but 
remains continuously exposed for more 
than six months it must be remo\ed by 
the permittee within 30 days of notifica- 
tion b\ the Coastal Resources Commis- 
sion or its representatives. In addition, 
the permittee shall be responsible for the 
remo\al of remnants of all or portions of 
the temporary- erosion control structure 
damaged by storms or contmued erosion. 

(E) Once the temporary erosion control 
structure is determined to be unnecessary 
due to a natural reversal of the eroding 
condition, relocation of the threatened 
structure, or adoption of an alternate ero- 
sion control method, any remnants of the 
temporary erosion control structure ex- 
posed seaward of or on the beach must 
be removed by the permittee within 30 
days of notification by the Coastal Re- 
sources Commission or its representatives. 

(F) Temporary sandbag bulkheads 
pcrmittable by this Rule shall be of a size 
and configuration consistent with their al- 
lowed purpose. Such structures may be 
appropriately anchored and shall not ex- 
ceed a width at their base of three 
sandbags or a maximum of fifteen feet. 
In no case shall the structure extend below 
the mean high water line. 

Sand-Trapping Devices: Low intensity 
off-shore passi\'e sand-trappmg devices 
may be permitted provided: 

(A) A minimum of two signs no smaller 
than 12 inches x 18 inches will be placed 
and maintained on poles on the ocean 
beach at least 6' abo\'e ground level that 
wiU indicate to fishermen, surfers and 
bathers that the structures or devices are 
present offshore. 

(B) The structures or devices will be re- 
moved at the expense of the applicant 
should they be documented as a nuisance 
to private property or to the pubhc well 
being. "Nuisance" will be defmed as any 
interference with reasonable use of pubbc 
trust watora ef A» oc e> an b e ach i^ ri fof nav 
igation. gwimming. fishing, • junbathing, 
ep other rjori- ' utional uco '. . areas or other 



lands within the ocean hazard ssstem 
A PCs that are subject to public trust use. 
(C) The structures or de\ices will be aligned 
■ no closer than 450 feet seaward of the fu'st 
Line of stable natural vegetation or 300 feet 
from the mean high water line, whichever 
is further seaward. 



(4) Beach Nourishment. Sand used for beach 
nourishment should be compatible with 
existing grain size and type. Sand to be 
used for beach nourishment shall be taken 
only from those areas where the resulting 
environmental impacts will be minimal. 

(5) Beach BuUdozmg. Beach bulldozing (de- 
fmed as the process of moving natural 
beach material from any point seaward of 
the first line of stable vegetation to create 
a protective sand dike or to obtain mate- 
rial for any other purpose) is development 
and may be permitted as an erosion con- 
trol measure if the following conditions 
are met: 

(A) ITie area on which this acti\ity is being 
performed must maintain a slope of ade- 
quate grade so as to not endanger the 
pubhc or the pubHc's use of the beach and 
should follow the pre-emergency slope as 
closely as possible. The movement of 
material utilizing a bulldozer, front end 
loader, backhoe, scraper, or any type of 
earth moving or construction equipment 
should not exceed one foot in depth 
measured from the pre-activity surface el- 
evation: 

(B) The activity must not exceed the lateral 
bounds of the applicant's property unless 
he has permission of the adjoining land 
owner(s); 

(C) Movement of material from seaward 
of the low water line will require a CAMA 
Major Development and State Dredge 
and FiU Permit; 

(D) The activity must not significantly in- 
crease erosion on neighboring properties 
and must not have a significant adverse 
effect on important natural or cultural re- 
sources; 

(E) The activity may be undertaken to 
protect threatened on-site waste disposal 
systems as well as the threatened struc- 
ture s foundations. 

(b) Dune EstabUshment and Stabilization. 
Activities to establish dunes shall be allowed so 
long as the following conditions are met: 

( 1) .-Vny new dunes estabhshed shall be aligned 
to the greatest extent possible with exist- 
ing adjacent dune ridges and shall be of 
the same general configuration as adjacent 
natural dunes. 

(2) Existing primary and frontal dunes shall 
not, except for beach nounshmcnt and 
emergency situations, be broadened or 
extended in an oceanward direction. 

(3) .Adding to dunes shall be accomphshed in 
such a manner that the damaae to existing 



1763 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



vegetation is minimized. TTie filled areas 
will be immediately replanted or tcmpHD- 
rarily stabilized until planting can be suc- 
cessfully completed. 

(4) Sand used to establish or strengthen dunes 
musi be brought in from a source outside 
the ocean hazard area and must be of the 
same nature as the sand in the area in 
which it is to be placed. 

(5) No new dunes shall be created in iiJet 
hazard areas. 

(6) Tliat sand held in storage in any dune 
other than frontal or primary dunes may 
be moved laterally in order to strengthen 
existing primary or frontal dunes if the 
work would enhance the protection to the 
proposed development activity. 

(7) No disturbance of a dune area will be al- 
lowed when other techniques of con- 
struction can be utilized and alternative 
site locations exist to avoid unnecessary 
dune impacts. 

(c) Structural Accessways 

(1) Structural accessways shall be permitted 
across primary dunes so long as they are 
designed and constructed in a manner 
which entails negligible alteration on the 
primary dune. Structural accessways may 
not be considered threatened structures 
for the purpose of Paragraph (a) of this 
Rule. 

(2) /\n accessway shall be conclusively pre- 
sumed to entail negligible alteration of a 
primar>' dune if: 

(A) The accessway is exclusively for pedes- 
trian use; 

(B) The accessway is less than six feet in 
width; and 

(C) The accessway is raised on posts or 
pilings of five feet or less depth, so that 
wherever possible only the posts or pilings 
touch the frontal dune. Where this is 
deemed impossible, the structure shall 
touch the dune only to the extent abso- 
lutely necessary'. In no case shall an 
accessway be permitted if it will diminish 
the dune's capacity as a protective barrier 
against flooding and erosion; and 

(D) Any areas of vegetation that are dis- 
turbed are revegetated as soon as feasible. 

(3) An accessway which does not meet (2)(A) 
and (B) of this Paragraph shall be per- 
mitted only if it meets a public purpose 
or need which cannot otherwise be met 
and it meets (2)(C) of this Paragraph. 
Public fishing piers shall not be deemed 
to be prohibited by this Rule, provided 
all other applicable standards are met. 



(4) In order to avoid weakening the protective 
nature of primary and frontal dunes a 
structural accessway (such as a "Hatteras 
ramp") should be provided for any off- 
road vehicle (ORV) or emergency vehicle 
access. Such accessways should be no 
greater than ten feet in width and should 
be constructed of wooden sections fas- 
tened together over the length of the af- 
fected dune area, 
(d) Construction Standards. New construction 
and substantial improvements (increases of 50 
percent or more in value on square footage) to 
existing construction shall comply with the fol- 
lowing standards: 

( 1 ) In order to avoid unreasonable danger to 
life and property, all development shall be 
designed and placed so as to minimize 
damage due to fluctuations in ground ele- 
vation and wave action in a 100 year 
storm. Any building constructed within 
the ocean hazard area shall comply with 
the North Carolina Building Code in- 
cluding the Coastal and Flood Plain 
Construction Standards, Chapter 34, Vol- 
ume 1 or Section 39, Volume 1-B and the 
local flood damage prevention ordinance 
as required by the National Flood Insur- 
ance Program. If any provision of the 
building code or a flood damage pre- 
vention ordinance is inconsistent w ith any 
of the following AEC standards, the more 
restrictive provision shall control. 

(2) All structures in the ocean hazard area 
shall be on pilings not less than eight 
inches in diameter if round or eight inches 
to a side if square. 

(3) All pihngs shall have a tip penetration 
greater than eight feet below the lowest 
ground elevation under the structure. For 
those structures so located on the primary 
dune or nearer to the ocean, the pilings 
must extend to five feet below mean sea 
level. 

(4) All foundations shall be adequately de- 
signed to be stable during applicable fluc- 
tuations in ground elevation and wave 
forces during a 100 year storm. 
CantOevered decks and walkways shall 
meet this standard or shall be designed to 
break-away without structural damage to 
the main structure. 

Statutory Authority G.S. II3A-I07(a); 
H3A-I07(b): II3A-II3 (b) (6) a., b., d.; 
II3A-I24. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1764 



PROPOSED RULES 



TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 



No 



otice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of 
Nursing intends to amend rule(sj cited as 21 
NCAC 36 .0109, .0301 - .0303, .0318, .0320 - 
.0324; adopt rule(s) cited as 21 NCAC 36 .0309 
- .0310, .0315, .0317; and repeal rule ( s ) cited as 
21 NCAC 36 .0304. 

Editor's Sate: Pursuant to G.S. 150B-21.20 the 
North Carolina Board of Nursing is requesting 
that the rules listed below be recodified. The 
reason for the recodification of the rules is for the 
sequence of the process for Approval of Nursing 
Programs. 

21 NCAC 36 .0309 to 21 NCAC 36 .0318 - 

Faculty 

21 NCAC 36 .0310 to 21 NCAC 36 .0320 - 

Students 

21 NCAC 36 .0315 to 21 NCAC 36 .0321 - 

Curriculum 

21 NCAC 36 .0317 to 21 NCAC 36 .0322 - 

Facilities 

21 NCAC 36 .0318 to 21 NCAC 36 .0323 - 

Records and Reports 

21 NCAC 36 .0320 to 21 NCAC 36 .0324 - 

Experimental .Approaches 

1 he proposed effective date of this action is June 
1, 1992. 

1 he public hearing will be conducted -at 4:00 
p.m. on .March 20, 1992 at the North Carolina 
Board of Nursing, 3724 National Drive, Suite 201 , 
Raleigh, North Carolina. 

I\eason for Proposed Action: 21 NC.4C 36 
.0109 - To give each candidate on the Ballot a 
more equitable opportunity to be elected. 21 
NCAC 36 .0301 - .0304, .0309 - .0310, .0315, 
.0317 - .0318, .0320 - .0324 - These Rules are be- 
ing proposed for adoption, amendment, or repeal 
to clarify, strengthen and incorporate adopted 
policies into the Process and Standards for Ap- 
proval of Nursing Programs and Clinical .Agen- 
cies. 



Co 



'Omment Procedures: .Any person wishing to 
present oral testimony relevant to proposed rules 
may register at the door before the hearing begins 
and present hearing officer with a written copy of 
testimony. Written statements may be directed 
ft\'e days prior to the hearing date to the North 



Carolina Board of Nursing, P.O. Box 2129, Ra- 
leigh, NC 27602-2129. 

CHAPTER 36 - BOARD OF NLRSING 

SECTION .0100 - GENERAL PROVISIONS 

.0109 SELECTION AND QUALIFICATIONS 
OF NURSE MEMBERS 

(a) Vacancies in nurse member positions on the 
Board that are scheduled to occur during the next 
year shall be announced in the December issue 
of the North Carolina Board of Nursing "Bulle- 
tin", which shall be mailed to the address on re- 
cord for each North Carolina currently licensed 
nurse on December 1. The "Bulletin" shall in- 
clude a petition form for nominating a nurse to 
the Board and information on filing the petition 
with the Board. 

(b) Each petition shall be checked with the re- 
cords of the Board to validate that the nominee 
and each petitioner hold a current North Caro- 
lina license to practice nursing. If the nominee 
is found to be not currently Licensed, the petition 
shall be declared invalid. If any petitioners are 
found to be not currently licensed and this fmd- 
ing decreases the number of petitioners to less 
than ten, the petition shall be declared invalid. 

(c) On a form provided by the Board, each 
nominee shall indicate the categor>' for which 
nominee is seeking election, shall attest to meet- 
ing the qualifications specified in G.S. 
90- 17 1.2 1(d) and shall provide written permission 
to be listed on the ballot. The form must be re- 
turned on or before April 15. 

(d) The majority of employment income of 
registered nurse members of the Board, must be 
earned by holding positions of primar\' responsi- 
bility as specified m G.S. 90- 171.21(d)'. The fol- 
lowing definitions apply in determining 
qualifications for registered nurse categories of 
membership: 

(1) Nurse Educator includes any nurse who 
teaches in or directs a basic or graduate 
nursing program; or who teaches in or di- 
rects a continuing education or staff de- 
velopment program for nurses. 

(2) Hospital is defmed as any facility which 
has an organized medical staff and which 
is designed, used, and primarily operated 
to provide health care, diagnostic and 
therapeutic services, and continuous 
nursing to inpatients. 

(3) Hospital Nursing Service Director is any 
nurse who is the chief executive officer for 
nursing service. 

(4) Employed by a hospital includes any nurse 
employed by a hospital. 



1765 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(5) Employed by a physician includes any 
nurse employed by a physician or group 
of physicians licensed to practice medicine 
in North Carolina and engaged in private 
practice. 

(6) Employed by skilled or intermediate care 
facUity includes any nurse employed by a 
long term nursing facility. 

(7) Registered nurse approved to perform 
medical acts includes any nurse approved 
for practice in North Carolina as a Nurse 
Practitioner or Certified Nurse Midwife. 

(8) Community health nurse includes any 
nurse who functions as a generalist or 
specialist in areas including, but not lim- 
ited to, public health, student health, oc- 
cupational health or community mental 
health. 

(e) The term "nursing practice" when used in 
determining qualifications for registered or prac- 
tical nurse categories of membership, means any 
position for which the holder of the position is 
required to hold a current license to practice 
nursing. 

(f) A nominee shall be listed in only one cate- 
gory' on the ballot. 

(g) If there is no nomiaation in one of the re- 
gistered nurse categories, all registered nurses 
who have been duly nominated and qualified 
shall be eligible for an at-large registered nurse 
position. A plurality of votes for the registered 
nurse not elected to one of the specified catego- 
ries shall elect that registered nurse to the at-large 
position. 

(h) Separate ballots shall be prepared for 
election of registered nurse nominees and for 
election of licensed practical nurse nominees. 
Nominees shall be Usted in olphaboticol random 
order on the ballot for licensed practical nurse 
nominees and within the categories for registered 
nurse nominees. Ballots shall be accompanied 
by biographical data on nominees. Ballots shall 
prescribe the method of voting. 

(i) Any nominee may withdraw her/his name 
at any time by written notice prior to the date 
and hour fixed by the Board as the latest time for 
return for ballots. Such nominee shall be elimi- 
nated from the contest and any votes cast for that 
nominee shall be disregarded. 

(j) On or about June 15, the appropriate ballot 
and a return official envelope shall be mailed to 
the address on record for each currently licensed 
nurse on that date, together with a notice desig- 
nating the latest day and hour for return of ballot 
which shall not be earher than the tenth day fol- 
lowing the mailing. 



(k) The Board of Nursing may contract with a 
computer or other service for receipt of envelopes 
with ballots and the counting of ballots. 

(1) The counting of ballots shall be conducted 
as follows: 

(1) The certificate number and name of the 
voter shall be entered on the perforated 
section of the ballot sheet. 

(2) The certificate number and name of the 
voter shall be matched with the registra- 
tion Ust. In the event that there is not a 
match, the entire ballot sheet shall be set 
aside for inspection, validation, or invali- 
dation by the Board of Nursing. 

(3) Those ballots which are not set aside shall 
have the perforated section completely 
separated from the ballot portion of the 
sheet. 

(4) Only official ballots shall be counted. 

(5) A ballot marked for more names than 
there are positions to be filled shall not 
be counted for that category but shall be 
counted for all other categories voted cor- 
rectly. 

(6) If for any reason it is impossible to deter- 
mine a voter's choice for a categor>' of 
nurse, that ballot shall not be counted for 
that categor\', but shall be counted for all 
other categories clearly indicated. 

(7) Ballots identified m (2), (5) and (6) of this 
Paragraph shall be set aside for inspection 
and determination by the Board of Nurs- 
ing. 

(m) A plurality vote shall elect. If more than 
one person is to be elected in a category, the 
pluraHty vote shall be in descending order until 
the required number has been elected. In any 
election, if there is a tie vote between nominees, 
the tie shall be resolved by a draw from the 
names of nominees who have tied. 

(n) The results of an election shall be recorded 
in the minutes of the next regular meeting of the 
Board of Nursing following the election and shall 
include at least the following: 

(1) the number of nurses eligible to vote, 

(2) the number of return ballots set aside and 
the disposition of same, 

(3) the number of ballots cast, 

(4) the number of ballots declared invalid, and 

(5) the number of votes cast for each person 
on the ballot. 

(o) The results of the election shall be for- 
warded to the Governor and the Governor shall 
commission those elected to the Board of Nurs- 
ing. 

(p) AH petitions to nominate a nurse, signed 
consents to appear on the ballot, verifications of 
qualifications, perforated sections of the ballot 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1766 



PROPOSED RULES 



sheets containing the certificate number and 
name of the voter, and the ballots shall be pre- 
ser^'ed for a period of three months following the 
close of an election. 

Statutory Authority G.S. 90-171.21; 90-171.23 

(b). 

SECTION .0300 - APPROVAL OF NLRSING 
PROGRAMS 

.0301 APPROVAL BODY 

The North Carolina Board of Nursing is desig- 
nated as the legal appro\'al body for nursing 
programs and associated clinical agencies. The 
Board is required to evaluate periodically each 
program and agency in light of requirements of 
the law and Standards set forth by the Board. 
To fulfill this responsibility, the Board's ropro 
oontativus designated representative! s) visit and 
survey nursing programs and associated agencies. 
The Board or its designated representatives re- 
views the report of sur\'ey and other records re- 
lating to oach the program or agency and 
determines whether »f Hot- the program or agency 
compHes with t4^ I aw and Standards as required 
by the Board. The Board expects programs and 
agencies to be m compliance with Law and 
Standards at all times. If it comes to the atten- 
tion of the Board or its designated represen- 
tatives, that a program or agency is not 
comphing with Law and Standards, further ac- 
tion shall be taken. 

Statutory Authority G.S. 90-/7/ . 23(b)(8): 
90-/7/.23(b)(9i: 90-/7/ .23(b)( /Oj; 90-/7/.38; 
90-/ 7/. 39; 90- J 7/. 40. 

.0302 ESTABLISHMENT OF A NLRSING 
PROGRAM - INITIAL APPROVAL 

(a) At least 12 months prior to the proposed 
enrollment of students in a nursing program, the 
administrative otficer of the parent A» institution 
doniring te ar . tQbliL i h considenng establishing a 
nursing program shall submit as- apphcation Aat 
inoludoo: f44 A a feasibility study documenting 
the following: 

(1) fA> approval of the program by the gov- 

erning body of the parent institution or 
written evidence that the approval is in 
process: 

(2) (4^ nood fof program: evidence of an ed- 

ucational need which cannot be met by 
existing nursing programs or extensions 
of those programs; 

(3) fG4 proposed student population; 

(4) (-&^ projected student enrollment; 

(5) potential employment opportunities for 
graduates: 



(6) f&) available clinical resources and maxi- 

mum numbers of students that can be ac- 
commodated in chnical areas; 

(7) (4^- evidence from existing nursing pro- 
grams of the potential impact of the pro- 
posed program on clinical resources; and 

(8) f^ a plan with a specified time frame for 

availability of: 

(A) (^ qualified faculty as specified in Stan- 
dards; 

(B) f«4 adequate financial resources; 

(C) fttH adequate physical facilities m tbe 
institution to house the program; and 

(D) f+vf support services available to the 
program from the institution. 

(b) The feasibility study will be presented at the 
next regular Education Committee meetmg. If 
the Education C'ommittee determines there is a 
need for the program and the plan includes the 
availability of the necessary resources to establish 
a program, the Education Committee will re- 
commend to the Board that the institution be 
appro\ed to proceed with the development of the 
program. 1 he recommendation to proceed will 
be contingent upon approval by the governing 
body. 

(c) If the Board determines that a program is 
approved for de\'elQpment, a minimum of six 
months pnor to the proposed starting date, the 
institution shall employ a qualified program di- 
rector and nurse faculty member(s) to develop 
the proposed program. 

(d) The director and faculty shaU prepare an 
apphcation to estabhsh a nursmg pro.gram, which 
shall include: 

(4t A- report proparod hy th^ director ©f tbe 
propoflod program aft4 faculty providing: 

(1) (A) a narrative description of the organiza- 

tional structure of the program and its re- 
lationship to the controlling mstitution; 

(2) (-&+ a general overview of the proposed to- 

tal cumculum that includes: 

(A) f+^ program philosophy, purposes, and 
objectnes: compL'toncit's; 

(B) fH-^ master plan of curriculum, indicating 
the sequence si for both nursmg and 
non-nursing courses, indicating as well as 
prerequisites and corequisites; 

fC| f»^ course descriptions and course ob- 
jectives oompotonci e c i for all courses: and 

(D) f«4 course svllabi as specified in 21 
NCAC 36 .0309(h) for all first-year nurs- 
ing courses; 

(3) {Qi student policies consistent with Stand- 

ards for admission, progression, and grad- 
uation of students; 

(4) f&i curriculum \itae for employed nursing 

faculty members whose numbers and 



1767 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



qualifications are consistent with assigned 
responsibilities in the development of the 
program; and 
(5) ffe) proposed agreements with clinical 
agencies, including types of units available 
and number of students that can be ac- 
commodated in each area at one time. 
(e) fb^ The completed appUcation must shall be 
submitted to the Board not less than 90 days 
prior to a regular meeting of the Board to allow 
for: 

(1) survey of the proposed program and foeil- 
itioo; agencies; 

(2) preparation of the report of the sun'cy; 

(3) response to the survey report by persons 
from the proposed program; and 

(4) review by the Education Committee of the 
Board for recommendations to the Board. 

(f} (e) A4 a mooting, the The Board shall con- 
sider all evidence, including the application, sur- 
vey report, and recommendations of the 
Education Committee. Representatives of the 
petitioning institution may speak at the meeting. 
The Board shall act upon the data available at 
the meeting. ©* at » oubooquont mooting. 

(g) (4^ If the Board fmds, from the evidence 
presented, that the resources and plans meet all 
Standards and requirements for establishing a 
new nursing program and that the petitioning 
institution is able and willing to maintain support 
and resources essential to meet the Standards of 
the Board, and if the first class of students is en- 
rolled within one year after this fmding, the 
Board shall grant initial approval. aft4 placo tbe 

llU-lllV ^TT lilL.' ^^^^^^^C^^ff ^^n ^^^P nut tTr tTTT^CTTOTIW WTTT 

initial approval fof a minimum Bp e cifi e d poriod 
ef timo. If the Board determines that a proposed 
program does not comply with all Standards, in- 
itial approval will be denied. Following the Ini- 
tial Approval, if the first class of students is not 
enrolled within one year, the approval will be 
rescinded. The period of time a program may 
retain initial approval status shall be influenced 
by the length of tfee time necessary for full im- 
plementation of the program. A program shall 
be considered eligible for removal from tb# list 
ef initially approved programo afl4 placomont eft 
the list ef approvod programo following a oun'oy 
during the fifial s e mootor/quartor/ Initial Ap- 
proval status and placement on Full Approval 
status following a survey during the fmal term of 
total curriculum implementation. 
(h) (e) Programs with initial approval shall be 
surveyed as follows: 

(1) aimually during the specified period of in- 
itial approval; 

(2) during the fmal s e mestor/quartor/ term of 
complete implementation of the program; 



(3) as directed by the Board when a decision 
has been made that the program is not 
complying with Law or Standards, 
(i} (f) Following any survey the Board will act 
upon data from the following: 

(1) a report of the survey; 

(2) response from the program representatives 
to the survey report; and 

(3) recommendations from the Education 
Committee. 

(j} If at any time it comes to the attention of 
the Board or its designated representative(s) that 
the program is not complying with all Standards 
or the Law, the program shall correct the area of 
noncompliance and submit written evidence or 
submit a written plan for correction to the Board 
for review and action. Failure to respond shall 
result in further board action. 

(k) (g) Upon finding by the Board that the 
program complies with the Law and Standards, 
the Board shall direct that the program remain 
on (be list ef initially approved progromB. Initial 
Approval status. If, following the survey during 
the fmal sem e et e r/quartor/ term for total curric- 
ulum implementation, the Board finds that the 
program is complying with the Law and all 
Standards, the Board shall direct that the pro- 
gram be placed on ti*e list ef appro^'od programs. 
Full Approval status and resurveved within three 
years. Upon a request for deferral of the resur- 
vey, the Board or its designated representative 
may extend the approval period. 

(]) (b) Upon fmding by the Board that the pro- 
gram does not comply with the Law or all Stan- 
dards by the fmal oomootor/ quortor/ academic 
term of initial approval, the Board shall: 

(1) provide the program with written notice 
of the Board's decision; 

(2) upon written request from the program 
submitted within ten business days of the 
Board's written notice, schedule a hearing. 
Such hearing will be held not less than 20 
business days from the date on which the 
request was received. 

(m) (+)• Following the hearing and consideration 
of all evidence provided, the Board shall direct 
that tfee namo ef assign the program FuU Ap- 
proval status be placed »» the list ef approvod 
programs or shall enter an Order removing the 
nam e ef the program from the list »f initially 
approv e d programs. Initial Approval status, 
which shall constitute discontinuance of the pro- 
gram. 

Statutory Authority G.S. 90-/7 J .38. 

.0303 EXISTING NURSING PROGRAM 

(a) FuU Approval/Approval with Stipulations: 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1768 



PROPOSED RULES 



(1) fa^ RoprooontativQfi Designated represen- 

tatives of the Board will survey approved 
programs at least everv fne years as spec- 
ified in G.S. 90-I71.4(). Interpretation of 
and assistance toward meeting these 
Standards are provided bv representatives 
of the Board through evaluation and con- 
suhation services. (4^ Surveys of individ- 
ual programs may be conducted at shorter 
intervals upon the Board's direction or 
upon request from the individual institu- 
tion. 

(2) 1 hrougli DL'OL ' mbor 34t 1089, ourvoyo shall 

gramo whooo graduates demonstrato a 

i^uDiT 1 u i^ rrr lu u j 1 1 iuit t ^j ij\ji w i it ott i i_i j i 

writing ef Ae hoonsuro oxamination at- a 
singlo OKumination Goooion hf a r e gular 
graduating class. If at any time it comes 
to the attention of the Board or its desig- 
nated represcntative(s) that the program 
is not complying with all Standards or the 
Law, the program shall correct the area 
of noncompliance and submit written ev- 
idence or submit a written plan for cor- 



^ 



rection to the Board for review and action. 
Failure to respond shall result in further 
Board action. 

I'flL ' ctiva January -It 1990, sup i 'oys shall h% 
don e within »ft« yeaf fof those programs 
whoso graduates demonstrate a pass fate 
ef less than ^ percent »«• fifst- ' ■ ■ ■ 'riting »f 
tfeo licensure oxamination at- a single e«- 
amination session by a regular graduating 
class. 
(3) fb^ The program shall receive a written re- 
port of the survey no less more than tea 
30 business days prior te » regularly sohe 
dulod Bducation Committee meeting te- 
allow time fof the program te- respond te 
tl*» Gun'oy tft wnting. Tb# Itduoation 
Committee shall consider all o' l idenoo, i«- 
cluding tfee sur i 'ey report aft4 program's 
response, aft4 make r e comm e ndations fof 
tl*e Board's consideration at- tl*e n e xt Fe§- 
ularly scheduled mooting ef tlte Board. 
following the completion of the survey 
visit. Responses from a nursing education 
program regardmg a survev \'isit report or 
Board stipulation shall be recei\ed in the 
Board ofTicc by the deadline date specified 
in the letter accompanying the report or 
notification of stipulation. 
(A) If no materials or documents are re- 
ceived bv the specified deadline date, the 
Board will act upon the fmdings in the 
sur\'ey report or testimony of the 
consultant(s). 



(B) When a nursing education program has 
responded by the deadline date, additional 
materials and documents will be received 
and reviewed U2 to K) business days be- 
fore the Education Committee meeting. 
No materials or documents will be re- 
viewed during the inter\'a] between the 
Education (Committee meeting and the 
Board meeting. 

(4) fe-^ If the Board through it's designated re- 

presentative determines that a program 
has f»et- complied with the Law and all 
Standards, tb« Board shall direct that tlie 
name ef the program shaU be placed eft 
th« list &f approved programo. continued 
on FuU Approval status. 

(5) (4^ If the Board Education Committee de- 

termines from consideration of all evi- 
dence, that a program has substantially 
complied with the l.aw and all Standards, 
the Education Committee shall make a 
recommendation to the Board that the 
program be Approved with Stipulations. 
The Board shall specify stipulations which 
shall be met by the program within a de- 
signated period of time, which shall not 
exceed 12 months, and shall direct that the 
name &f the program be placed ©» the hst 
ef approved programs. assigned Ap- 
proved with Stipulations status, 
(b) Provisional Approval: 
(1 ) fe) If the Board determines that a program 
is not complying with the I aw, Standards, 
and or stipulations following a routine 
»f Board directed sur^'oy, the Board shall 
direct that the name »f assign the program 
be placed e«- the hst ©f provioionally ap- 
provod programs, Provisional Approval 
status, and shall give wntten notice by 
certified or registered mail to the program 
specifying: 

(A) ^ the areas in which there is »efi- 
complianoo noncompliance with Law, 
Standards and/ or stipulations; and 

(B) (^ a time no later than 12 months from 
the date of notice by which the program 
must comply with the Law and all Stand- 
ards. 

£21 (^ At the end of the specified time, desig- 
nated representatives of the Board shall 
conduct a survey to detennine the pro- 
gram's comphance with the Law and ail 
Standards. 

(3) fg^ The program shall receive a written re- 
port of the survey no less more than teft 
30 business days prior te- a regularly ocho 
dul e d Education C^immitteo mooting fol- 
lowing the completion of the sur\'ey to 



7769 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



allow time for the program to respond to 
the survey report in writing. 
Program responses shall foUow the receipt 
deadlines as specified in Subparagraph 
(a)(2) of this Rule. The Education 
Committee shall consider all evidence in- 
cluding the survey report and program's 
response, and make recommendations for 
the Board's consideration at the next reg- 
ularly scheduled meeting of the Board. 
(4) ffe^ If the Board determines that the pro- 
gram is complying with the Law and all 
Standards, the Board shall dir e ct ibdt- tfe« 
namo ef assign the program be placed e» 
the fe* ef approved programs. FuU Ap- 
proval status. 
[5| ft) If the Board determines that the pro- 
gram is not complying with the law and 
all Standards, the Board shall direct that 
the namo »f the program be placed »» tb« 
fe* ef probationally appro^'od programs. 
assigned Probational Approval status. 
(c) Probational Approval: 

(1) (j^ When the Board has dir e ct e d tfeat- tb© 

namo ef a assigned the program be placed 
©ft the fet si probationally approved pfe- 
grams, Probational Approval status the 
Board shall: 

(A) f44 determine if the program may con- 
tinue to admit students based on evidence 
that the program can comply with the 
Law and aU Standards before the end of 
the designated period for probational ap- 
proval; 

(B) (4} provide the program with written 
notice of the Board's decision regarding 
probational approval and admission of 
students; 

(C) f3^ schedule a hearing if the program 
submits a written request for such within 
ten business days of the receipt of the 
Board's notice. Such hearing shall be held 
not less than 20 days from the date on 
which the request was received. 

(2) fk^ If the program does not request a 
hearing, the program wLU remain on th« 
fet ef probationally approved programs 
Probational Appro\'al and shall be s«f- 
voyod resur\'eved by the designated repre- 
sentatives of the Board within one year 
of the Board's initial determination of 
probational approval. 

(3) (1^ If the program so requests, a hearing 

wlU be scheduled. 
(A) f44 If the Board determines from evi- 
dence presented at the hearing that the 
program is complying with the law and 
all Standards, the Board shall direct ti»t- 



t^i^ rt rt rrt a ^^L U^^ w^rt-% rrw-i rm ^^i »-tl r\ r^/-uA j-i n tl^^ 
^TT^ IIUIl IV UI CIIV \7 1 \J^J \X1 IT ^^v pTTt^^^^CT ^^^T ^T^W 

li«t ef approved programs. assign the 
program FuU Approval status. 
(B) f3^ If the Board determines from evi- 
dence presented at the hearing that the 
program is not complying with the law 
or all Standards, the program shall remain 
on the lirt »f probationally approved pro 
grams Probational Approval for no more 
than one year from the date that the name 
ef tfee program was placed on th« fet- ef 
probationally approved programs. Pro- 
bational Approval. A survey by desig- 
nated representatives of the Board shall 
be conducted during that specified time. 

(4) fft^ Tlie program shall receive a written 

report of the survey no less more than teft 
30 business days prior te- a regularly oche 
dulod Education Committee meeting fol- 
lowing the completion of the survey visit 
to allow for the program to respond to the 
survey report in writing. The Education 
Committee shall consider all evidence, in- 
cluding the survey report and program's 
response, and make recommendations for 
the Board's consideration at the next reg- 
ularly scheduled meeting of the Board. 

(5) (ft) If the Board determines that the pro- 

gram is complying with the Law and all 
Standards, the Board shall direct tfeat- tbe 
name ef assign the program h% placed ©ft 
tb# fet ©f approved programs. FuU Ap- 
pro\al status. 

(6) f©) If the Board determines that the pro- 

gram is not complying with the law or 
all Standards, the Board shall cause notice 
to be served on the program and shaU 
specify a date for a hearing to be held not 
less than 20 days from the date on which 
notice is given. 

(7) (p) If the Board determines from evidence 

presented at the hearing that the program 
is complying with the law and all Stand- 
ards, the Board shall direct that A# nam e 
©f assign the program be placed ©ft tbe list- 
©f approved programs. FuU Approval 
status. 

(8) (^ If the Board, determines from evidence 

pres e nt e d at- the foUowing a hearing, fmds 
that tbe a nursing program on Probational 
Approval is not complying with the 1 aw 
and all Standards, the Board shaU ent e r 
aft Order removing Ae nam e ©f the pro 
gram from the list ©f programs ©ft proba 
tional approval, withdraw approval. 
(A) This action constitutes discontinuance 
of the program. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1770 



PROPOSED RULES 



(B) The parent institution shall present a 
plan to the Board for transfer of students 
to approved programs. Closure shall take 
place after the transfer of students to ap- 
proved programs within a time frame es- 
tablished by the Board. 

(C) The parent institution shall notify the 
Board of the arrangement for storage of 
permanent records. 

Statutory Authority G.S. 90-171.39; 90-171.40. 

.0304 ADMINISTRATION 

fa^ ^fte controlling inotitution must ^ve evi- 
donoo ©f a continuing oommitmont te- pro' i 'ido 
thooo human, phyoical. aft4 financial r e r . ourccs 
aft4 f . Qn . 'io e;i ocijontial te maintom Standards pfe- 
i ioribc'd h^ A» Board. 

fbf Dolmoation ef authority, rooponsibility eiff^ 
accountability at ali lt « volo m ^Pi% inr i titution, as 
thcjy atTcJct A<* nuroing program, munt h^ t . tat e d. 

(«^ Authority fef dirootion ef tbe program must 
be di>lijgatod to- a rogistorod nurs e qualified te 

r e sponsibilitios f»f maintaining Standards aft4 
other k'gal roquiremonts m aH- aroas &f tke pro 
gram. 

aft4 practices are implomontod. 

Statutory' .Authority G.S. 90-17 1 .23(b)(8): 
90-171.38. 

.0309 F'ROCESS FOR CLOSLRE OF A 
PROGRAM 

(a) WTien the parent institution makes the de- 
cision to close a nursing program, the Adminis- 
tration shall advise the Board and submit a 
written plan for the discontinuation of the pro- 
gram. 

(b) Fducational standards shall be maintained 
until the last student has transferred or completed 
the program. 

(c) I'he Board shall be notified of the arrange- 
ment lor storage of permanent records. 

Statutory Authority G.S. 90-171.39: 90-171.40. 

.0310 AGENCY APPROVAL PROCESS - 
INITIAL SURVEY 

(a) At least 30 days prior to planned use, a 
program or agency representative shall submit an 
Application for a New Clinical Resource to the 
designated representative of the Board. The ap- 
pHcation shall include: 

( 1 ) Organizational Chart: 

(2) Position descnptions for nursing person- 
nel; 



(3) Census and staffing report; 

(4) Impact statement(s); 

(5) Contractual agreement, if appropriate. 

(b) A sur\ey of the agency is conducted. The 
agency shall receive a written report of the survey 
no more than 30 business days foUowing the 
completion of the survey visit to allow time for 
the agency to respond to the survey report in 
writing. Agency responses shall follow the re^ 
ceipt deadhnes as specified under PROGRAM 
APPROVAL APPROVAL WITH STIPU- 
LA1 IONS, page 8. number 2. 

(c) At its meeting, the Board shall consider all 
e\'idence. including the survey report, response 
from the agency and recommendations of the 
Education Committee. 

(d) If the Board finds that the agency complies 
with the Law and Standards, the Board shall as- 
sign the agency Full Approval status and approve 
for student use. 

(e) If the Board finds that the agency substan- 
tially complies with Law and Standards, the 
Board shall assign the agency Approval with Sti- 
pulations status and approve for student use. 

Statutory Authority G.S. 90-171.39. 

.0315 FULL APPROVAL/APPROVAL WITH 
STlPUL.\TIONS 

(a) Designated representatives of the Board will 
survey approved agencies at least every five years. 
Sun'evs may be conducted at shorter intervals 
upon the Board's direction or upon request from 
the agency. 

(b) The agency shall receive a written report 
of the sur\-ey no more than 30 business days fol- 
lowing the completion of the survey \'isit to aJlow 
time for the agency to respond to the sur\'ev re- 
port in writing. Agency responses shall follow 
the receipt deadlines as specified in Rule 
.03n3(3)(A)(B) of this Section. 

(c) If the Board through its' designated repre- 
sentative determines that an agency has complied 
with the I^w and all Standards, the agency shall 
be contmued on FuU Approval status. 

(d) If the F'ducation Committee determines 
from consideration of all evidence, that an agency 
has substantially complied with the I ,aw and all 
Standards, the Education Committee shall make 
a recommendation to the Board that the agency 
be Appro\ed with Stipulations. The Board shall 
specify stipulations which shall be met by the 
agency within a designated period of time, \\hich 
shall not exceed J_2 months and shall direct that 
the agency be assigned Approval with Stipu- 
lations status. 



Statutory Authority G.S. 90-171.39. 



1771 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



.0317 ADMINISTRATION 

(a) The controlling institution shall give evi- 
dence of a continuing commitment to provide 
those human, ph\'sical, and fmancial resources 
and ser\aces essential to maintain Standards pre- 
scribed bv the Board. 



(b) Delineation of authority, responsibilitv and 
accountability at all levels in the institution, as 
they affect the nursing program, shall be stated. 

(c) Authority for direction of the program shall 
be delegated to a fuU-time registered nurse quali- 
fied to serve as du'ector. This authority must 
encompass responsibilities for maintaining Stan- 
dards and other legal requirements in all areas of 
the program. 

(d) Evidence shall exist that administration 
supports the implementation of established poli- 
cies. 

Statutory Authority G.S. 90-17 1 .23(b)(8); 
90-171.38. 

.0318 r«3e» FACULTY 

(a) Both fuU-time and part-time members shall 
be considered nursing program faculty. ^Vhen 
part-time faculty are utilized, evidence shall exist 
of their participation in curriculum implementa- 
tion and evaluation. 

(b) Pohcies for nursing program faculty mem- 
bers shall reflect those of the institution; how- 
ever, variations in these policies may be necessary 
because of the nature of the nursing curriculum. 

(c) Qualifications for nurse faculty members 
muot shall be stated and reflect knowledge and 
experiences in clinical nursing and teaching which 
are appropriate for assigned responsibihties. 

(d) Faculty members who teach non-nursing 
courses required in the nursing curriculum muot 
shaU have appropriate academic and experiential 
qualifications for the program areas in which they 
participate. 

(e) Each nurse faculty member must be ew^ 
r e ntly hconood shall hold a current unrestricted 
license as a registered nurse in North Carolina. 
The program director is held accountable for va- 
lidating and documenting current registered nurse 
licensure in North Carolina. 



(f) Each nurse faculty member muf . t shall hold 
a baccalaureate dogroo in nursing or a baccalau- 
reate dogroo with a major in nursing. Exceptions 
are: 

(1) the individual who holds a master's degree 
in nursing and a baccalaureate dogroo in 
another discipline; 

(2) the individual employed as a faculty 
member prior to Januar>' 1, 1984, who 
holds a baccalaureate dogroo in another 



discipline. This exception applies to con- 
tinuing employment in the current setting. 
The individual curr e ntly omployod wbe- dees net- 
heW a baocalauroato dogr ee must achieve this 
d e gr ee hf Januaj^/ 4-7 1990. 
(g) Each nurse faculty member employed after 



January' 



1984, shall have had a minimum of 



two years prior employment in direct patient 
care. Each nurse faculty member employed after 
January' 1, 1989, shall have had a minimum of 
two year's prior employment in direct patient 
care as a registered nurse. Each nurse faculty 
member employed after July j^ 1992, shall have 
had a minimum of two calendar year's prior 
fuU-time employment or the equivalent in cUnical 
nursing practice as a registered nurse. 

(h) In addition to all qualifications for nurse 
faculty members, as spocifiod i» fe^r (f^ afi4 (g) 
©f tfeie Rulo, the nurse director of a practical 
nurse education program employed as such after 
January 1, 1984, muot shall have had at least two 
year's experience teaching in nursing program(s). 

(i) In addition to all qualifications for nurse 
faculty members, as spocifiod m fe^r (f^r aH4 (g^ 
Bi this Rulo, the nurse director of a program 
preparing individuals for registered nurse practice 
>vho was e mploy e d: (4^ prior te January +7 
1981, afi4 dees Het- shall hold oamod a baccalau- 
reate and a master's dogroos, muot hel4 both de- 
grooo by- Januarys 4-7 1990. degree, one of which 
shall be in nursing; Bf f5^ and if employed after 
January 1, 1984, must hold oamod baccalaureate 
aft4 mastor'o dogroos, ©we ©f >vhich shall be m 
nursing, aft4 shall have had at least two year's 
experience teaching at or above the academic 
level of the program. For purposes of this Stan- 
dard, associate degree and diploma nursing pro- 
gram levels are considered comparable. 

(i) In addition to aU qualifications for nurse fa- 
culty members, the 44*e nurse faculty member in 
a program preparing individuals for registered 
nurse practice who has primary responsibility, 
designated by the program, for coordinating the 
planning, implomonting, implementation, and 
evaluating evaluation, of each major clinical 
nursing course shall hold aft oamod a master's 
degree, ©f achiovo t4^ dogroo by- January 47 1990. 
This nurse faculty member shall also ha\e had a 
minimum of one academic year of fuU-time 



teaching experience in a nursing program. 

(k) In addition to ^ qualifications for nurse 
faculty members, the nurse faculty member in a 
program preparing individuals for practical nurse 
licensure who has primaiA' responsibility, desig- 
nated by the program, for coordmatmg the plan- 
ning, implementation and evaluation of each 
major clinical nursing course, shall have had a 



6:25 NORTH CAROLINA REGISTER March 2, 1992 



1772 



PROPOSED RULES 



minimum of one academic year of full-time 
teaching experience in a nursing program. 

(1) fl*^ The nurse faculty members muot shall 
have the appropriate authority and responsibility 
for: 

(1) student admission, progression, and gradu- 

ation requirements; and 

(2) the development, implementation, and 
evaluation of the curriculum. 

(m) ft^ The nurse faculty members must shall 
be sufficient in number to implement the curric- 
ulum as demanded by the course objectives, 
/compotonoies, the levels of the students, and the 
nature of the learning environment. The facul- 
ty-student ratio in clinical areas shall depend 
upon the level of students, the acuity of patients, 
and the average daily census in the unit. ¥!«« 
The ratio shall be 1;10 or less. Request to exceed 
the 1:10 ratio shall be submitted fof to the Board 
or its^ designated representatives for approval 
prior to implementation. Request may be ap- 
proved for one academic term only. 

(n) f«*) There shall be written ovidonce ef an- 
nual evaluation ef tl*e offoctivonooo of each nurse 
faculty member by the program director or 
hifi/hor a designee; and evidence of written annual 
evaluation of the program director bv an imme- 
diate supervisor. 

Statutory Authority G.S. 90-171 .23(b)(8); 
90-171.38. 

.0320 =«*+# STUDENTS 



(a) Students in nursing programs muot shall 
meet requirements established by the controlling 
institution. Additional requirements may be 
noodod stipulated for nursing students because of 
the nature and legal responsibihties of nursing 
education and nursing practice. 

(b) Admission requirements and practices muot 
shall be clearly stated and published by the con- 
trolling institution and must include assessment 
of: 

(1) physical and emotional health that would 
provide evidence that is indicative of the 
applicant's ability to provide safe nursing 
care to the public; and 

(2) achievement potential through the use of 
previous academic records and pre-en- 
trance examination cut-off scores that are 
consistent with curriculum demands and 
scholastic expectations; and 

(3) record of high school graduation, »f high 
school equivalent, or earned credits from 
an approved post-secondary institution. 

(c) The number of students enrolled muot in 
nursing courses shall not exceed a level com 
m e nsurato witfe tfee total rosourcoo availablo te 



tbe program, the maximum number approved 
by the Board. 

(d) Published policies and practices must shall 
exist that provide for identification and dismissal 
of students who: 

(1) present physical and,/ or emotional prob- 
lems that do not respond to appropriate 
treatment and/ or counseling within a 
reasonable period of time; or 

(2) demonstrate behavior which conflicts with 
safety essential to nursing practice. 

(e) Criteria for progression through a program 
muot shall clearly defme the level of performance 
required to pass each course in the curriculum, 
the level at which failure of the course is deter- 
mined, and the level of performance in prerequi- 
site courses required for progression to 
subsequent courses or levels. These criteria shall 
apply to both theoretical and clinical compo- 
nents of nursing courses. Criteria fef p e rform 
M*ee m clinical nuroing courooo shall includo 
compotonoioo m compononto ef basic nursing 
praotico as logaUy dofmod fof the lioonouro l e vol. 

(f) Criteria fof graduation muot be m accord 
with outoomos oxpoctod »f a» individual ift Pro- 
gram objectives shall be consistent with compo- 
nents of basic nursing practice as legally defmed 
for the licensure level. 

(g) Implementation of the nursing program 
shall result in no less than W an annual 75 per- 
cent pass rate on fu'st writing of the licensure ex- 
amination at a oinglo oxamination sosoion by a 
regular graduating claoo. Effoctivo January 47 
1990, ^m roquirod pass fate shall be ^ porcont. 
for the calendar year ending December 31. 

(h) Pohcies for transfer of credits and/ or for 
admission to advanced placement must shall be 
stated and must provide that: 

(1) general admission, progression, and grad- 
uation requirements of the nursing pro- 
gram shall apply to the apphcant; and 

(2) the nursing program shall determine the 
total number of nursing courses and/or 
credits allowed for advanced placement. 

Statutory Authority G.S. 90-171 .23(b)(8); 
90-171.38. 

.0321 ,«*+* CLRRICLLUM 



(a) The curriculum shall: 

(1) be planned by nursing program faculty; 
aB4 shaU be tft kooping witb 

(2) reflect the stated program philosoph)', 
purposes, and objectives; /compotoncioo. 
and 

(3) shall be consistent with the Law and ad- 
ministrative rules governing the practice 
of nursing. 



1773 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(b) The curriculum shall include, but not nec- 
essarily be Umited to, instruction in: 

(1) biological, physical, and social science 
principles; 

(2) components of basic nursing practice as 
legally defined for the hcensure level: and 

(3) (4f utilization of the nursing process in the 

care of individuals and families through- 
out the life cycle an4 including the fol- 
lowing areas: 

(A) maternal and child health; 

(B) (4^ nuroing eafe ef poroono witb com- 
mon medical and surgical conditions; and 

(C) aging populations. 

Instruction in nursing care in all areas named 
shall include both theory and clinical learning 
experiences. 

(c) The curriculum for a nursing program de- 
signed to prepare persons for registered nurse li- 
censure shall also include instruction in the 
nursing care of persons with 
mental ' Omotionalipoychiatrio mental, emotional, 
or psychiatric disorders. Instruction shall include 
both theory and clinical learning experiences. 

(d) The curriculum for a baccalaureate nursing 
program shall also include public ' Community 
health nursing. Instruction shall include both 
theory and clinical learning experiences. 

(e) The curriculum for a nursing program de- 
signed to prepare persons for practical nurse li- 
censure shall include basic mental health 
principles and therapeutic communication. 

(f) Learning opportunities muot shall be 
planned in logical sequence so that prerequisite 
knowledge is provided prior to the experience to 
which that knowledge is basic. Corequisites 
must be placed concurrently with the 
experience(s) [course(s)] to which they relate. 

(g) Objectives /compot e ncias for each course 
must shall indicate the knowledge and skills ex- 
pected of the students. These objectives ,com 
potoncioo must be stated to: 

(1) indicate the relationship between the 
classroom learning and the appUcation of 
this learning in the cUnical laboratory ex- 
perience; and 

(2) serve as criteria for the selection of the 
types of and settings for learning experi- 
ences; and 

(3) serve as the basis for evaluating student 
performance. 

(h) Couroo Student course syllabi must shall 
include, in addition to the objectives compoton 
eies described in Paragraph (g) of this Rule, a 
description and outline of content, learning envi- 
ronments and activities, course placement, allo- 
cation of time, and methods of evaluation of 
student performance, including clinical evalu- 



ation tools. Those items must be clearly otatod 
m order *«• relate te- tfee objootivos/compet e ncios 
fof ©aefe oouroo. 

(i) There must shaU be evidence that each 
course is implemented in accordance with the 
student course syllabus. 

(j) Nurse faculty must shall demonstrate that 
they have authority and responsibility for: 

(1) teaching and evaluating all classroom and 
clinical oxporionoo; experiences, including 
precepted experiences; 

(2) planning and implementing learning ex- 
periences so that objectives /oompotoncios 
for each course are met; and 

(3) providing placement and logical sequenc- 
ing of clinical learning experiences to sup- 
port application of theory and attainment 
of knowledge and skills. 

(k) There must shall be a written plan for total 
program evaluation and documentation of ongo- 
ing implementation of the plan. The evaluation 
components shall include administration, faculty, 
students, curriculum, facilities, and records and 
reports. The process of evaluation shall include 
faculty, student, and graduate involvement. 

(1) Requests for approval of changes in, or ex- 
pansion of, the program must accompanied by 
aU required documentation shaU be submitted 
prior te implementation aft4 at least 30 days 
prior to a sch e dul e d implementation for approval 
by the Board mooting fo* action by the Eduoa 
tie» Committoo. through its designated repre- 
sentatives. The request shall be accompanied by 
documontation »f availabl e rosourcoG. Approval 
is required for: 

(1) increase in enrollment which may exceed 
the maximum approved by the Board. 
Requests for expansion are considered 
only for programs with I uU Approval 
status; 

(2) major changes in curriculum related to 
philosophy, purpose, and/ or focus of the 
program; ef changes m tfee curriculum 
master plan; 

(3) altemati' i 'o/additional alternative or addi- 
tional program schedules; and 

(4) addition of clinical resources. 

Statutory Authority G.S. 90-171 .23(b)(8); 
90-171.38. 

■0322 SM^ FACILITIES 

(a) Campus facilities must shall be appropriate 
in type, number, and accessibility for the total 
needs of the program. 

(1) Classrooms, practice laboratories, 

audio video, tutorial audio and video tu- 
torial laboratories, and conference rooms 



6:25 NORTH CAROLINA REGISTER March 2, 1992 



1774 



PROPOSED RULES 



muot shall be sufficient in size, number, 
and types for the number of students and 
purposes for which the rooms are to be 
used. Lighting, ventilation, location, and 
equipment must be suitable. 

(2) Office and conference space for nursing 
program faculty members shall be appro- 
priate and available for uninterrupted 
work and privacy including conferences 
with students. 

(3) The hbrary facihties must shall be readily 
accessible to students and faculty, and 
must offer adequate resources and ser- 
vices. 

(A) Active hbrar}' services muot shall in- 
clude a Ubrarian and a system of catalog- 
ing. 

(B) A system mur . t of acquisition and de- 
letion shall exist that ensures 
curroncy appropnatonoss currency and 
appropriateness of holdings including 
audio >'idoo tutorial audio and video tu- 
tonal resources that support miplementa- 
tion of the nursing cumculum. 

(C) Librar\ space for use by students and 
faculty muot shall be adequate to accom- 
modate the program. 

(D) Library hours muot shall meet the 
needs of the students in the program. 

Other facilities must shall support the pro- 



(b) 
gram 

(1) 



Clinical rosouroes must agencies shall in- 
clude: 

(A) hospital(s) that provide inpatient sef- 
' ■ iooo care in medicine, surger\', obstetrics, 
aft4 pediatncs, and geriatrics; 

(B) agencies serving patients ©f ail ages 
across the hfespan who present problems 
arismg from common pathological or 
maturational conditions; 

(C) patient census in hospitals and agencies 
with sufficient numbers and varieties of 
conditions, mcluding varying degrees of 
acuity, to accommodate the number of 
students and provide learning experiences 
mandated by the curriculum. 

(2) Clinical rouourcco agencies for programs 
leading to registered nurse hcensure must 
shall include poychiatric mental psychiat- 
ric and mental health ser\'ices with suffi- 
cient patient census in community sites 
aft4- or inpatient fucilitioo services at 
which psychiatric mental psychiatric or 
mental health care is a primary focus. 
Patient census must be representative of 
the range of DS.M III diagnoses. 

(3) Clinical r e sourc . oo agencies for baccalau- 
reate nursing programs shall include 



public/community public or community 
health services withm voluntary or official 
nursing agencies. 

(4) Each clinical rooouroo must: agency shall: 

(A) have approval of the Board; 

(B) have a registered nurse with authority 
and responsibihty for administration of 
nursing within the rooouroo; agency; 

(C) have staffmg and written operational 
policies and procedures designed to ensure 
the legal p)ractice of nursing, as defmed in 
i\rticlo O7 /Vrticles 9A and 9C, Chapter 90 
of the General Statutes (Nursing Practice 
Act) and Administrative Code, Title 21, 
Chapter 36, and te onsuro offoctivo loam 
iftg? demonstrates compliance with agency 
pohcies at a rate of no less than 85 per- 
cent; 

(D) make records of those served available 
for use by faculty and students; 

(E) have equipment and supphcs that are 
suitable in quantity and quality, properly 
maintained, and available for use; and 

(F) have a current contractural agreement 
with the program ^i i 'liioh muot: if the 
clinical resource is not a constituent of the 
parent institution. 

(+t be ourront; 

(«-)• mcludo faculty' student ratio ef 4^-^ 

ftii^ rofloct the rooponsibility ef faculty ia- 

the clinioal looming situation; 
(i¥^ ^¥e tfee date aft4 proo e oo fe* revi e w; 

fv) include provision fof conforonoo 
opacQ. 

(5) The clinical agencies shall file with the 
Board such records, data, and reports as 
may be required in order to furnish infor- 
mation regardmg policies, position de- 
scnptions, and census and staffing reports 
to ensure the legal practice of nursing and 
that are reflective of opportunities for ef- 
fective learning. 

(6) (4^ Schedules for use by one or more 
nursing programs must shall demonstrate 
feasibility for such use and reflect cooper- 
ative planning by the programs and the 
resourc e , agency. 

Statuion Authority G.S. 90-171 .23(b)(8); 
90-171.38. 

.0323 tOJU^ RKCORDS .\ND reports 

(a) The controlling institution's publications 
shall be current and accurately describe the nurs- 



ing program. 



1775 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(b) (a^ A» There shall be evidence of an accu- 
rate and complete rooords system sbaJi be main 
toinod. for maintaininR official records. Current 
and permanent student records shall be stored in 
a way manner that prevents damage and unau- 
thorized use. 

(c) fb) Both permanent and current records 
must shall be a\ailable for review by represen- 
tatives of the Board. ?4*» Board mak e s H*e »f 
tb» foete suppli e d m e valuating nursing programs 
aft4 m approving applications ei graduates fop 
tfee liconsuro oxamination. 

(d) fe^ The official permanent record for each 
graduate shall include documentation of admis 
sie«- oritoria H*et- by tbe individual graduation 
from the program and a transcript of the indi- 
vidual's achievement in the program. 

(e) (4) The record for each enrolled student shall 
contain up-to-date and complete information, 
including: 

(1) documentation of admission criteria met 
by the student; 

(2) evidence of graduation from an accredited 
high school, high school equivalent, or 
earned collogo l e vol credits from an ae- 
oroditod univoroity ef collogo; approved 
post -secondary institution; and 

(3) transcript of credit hours achieved in the 
classroom, laboratory, and clinical in- 
struction for each course that reflects pro- 
gression consistent with program policies. 

(f) fe^ The nursing program shall file with the 
Board such records, data, and reports as may be 
required in order to furnish information con- 
cerning operation of the program as prescribed 
in the Standards and concerning any student or 
graduate of the program. These records, data 
and reports include but are not necessarily lim- 
ited to: 

(1) an Annual Report giving all data requested 
on the form provided by the Board for the 
period beginning fall term through sum- 
mer term and submitted to the Board of- 
fice by Octobor 44 November J_ of each 
year. 

(2) a Supplomontory Program Descriptive 
Report giving all data requested »» the 
form providod by and submitted to the 

i-'v-'<-U Ki r^Tr 111 1 1 I VI ITT n^T^^^JT^TT ^^VC^^S'^T T^^r CmV 

submitted te tfee Board effiee by April 44 
ef oaoh y e ar; office at least 30 days prior 
to a scheduled survey visit. 

(3) notification by institution administration 
of any change of the registered nurse re- 
sponsible for the nursing program. Tfiis 
notification must include a vitae for the 
new individual and must be submitted 



within ten business days of the effective 
date of the change. 
(4) a curriculum vitae for new faculty shall be 
submitted by the program director within 
10 business days from the time of em- 
ployment, 
(g) (f) The Board may require additional records 
and reports for review at any time to provide ev- 
idence and substantiate compliance with Stand- 
ards and law by a program and its associated 
agencies. 

(h) (g) The Application for Licensure by Ex- 
amination shall be submitted on forms provided 
by the Board. 

(1) The p>art of the application to be submit- 
ted by the nursing program shall include, 
but is not necessarily limited to, a state- 
ment indicating verifying satisfactory' 
completion of all requirements for gradu- 
ation and the date of completion. 

(2) The application is to be submitted as soon 
as possible following completion of the 
program; or in any event, by the pub- 
lished deadline date apphcable to the ex- 
amination. In instances where the 
published deadline cannot be met, special 
consideration may be granted upon writ- 
ten request from the director of the pro- 
gram no less than 60 days prior to the 
deadline date. 

(i) (fe^ When a nursing program closes, the 
Board shall be notified of the arrangements for 
storage of permanent records. Storage method 
shaU prevent damage and/ or unauthorized use. 

Statutory Authority G.S. 90-17 1 .23{b)(8); 
90-171.38. 

■0324 S»m EXPERIMENTAL .\PPROACHES 

(a) In the interest of promoting innovations in 
nursing programs, the Board will consider pro- 
posals for experimental approaches in nursing 
education b^ existing nursing programs with Full 
Approval status. 

(b) Proposals must shall be submitted 60 days 
prior to the next scheduled Board meeting to al- 
low time for review by the Education Committee 
for recommendations to the Board. The pro- 
posal shall include the following: 

(1) description of the experimental approach 
and rationale; 

(2) purposes and objectives; and 

(3) strategies for implementation including: 

(A) anticipated date of implementation; 

(B) methodologies; 

(C) course(s) involved; 

(D) resources available; 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1776 



PROPOSED RULES 



(E) numbers of students and faculty mem- 
bers involved; 

(F) rcH . poni . ibilitios activiti e s responsibilities 
and activities of the faculty members; 

(G) roj . pon ' . i ibilitio ' j activitios responsibilities 
and activities of the students; 

(H) relationship to existing curriculum; 

(I) effect on admission and progression of 
students; and 

(J) proposed length. 
(4) strategies for evaluation of the exper- 
imental approach including: 

(A) evaluation process to be used; 

(B) anticipated outcome(s); and 

(C) implications of the outcome(s). 

(c) Program representatives wiU be notified of 
the time and date that the Education Committee 
and the Board will consider the proposal. Pro- 
gram representatives shall attend these meetings. 

(d) When appro\ed by the Board, experimental 
approaches are to be implemented for one time 
only. 

(e) WTien a nursing program utilizes an exper- 
imental approach, the program shall have sole 
responsibiity for determining the criteria for stu- 
dent participation. Students must be informed 
that they wiU be participating in an experimental 
approach. 

(f) Nurse faculty members have the fmal re- 
sponsibility for evaluation of the outcomes. The 
program director may be required to submit pe- 
riodic evaluation reports. A report of outcomes 
resulting from the experimental experience must 
be submitted within 90 days of its completion. 

(g) If at any time during the implementation 
of the approach, the nursing program faculty 
members become aware that student learning or 
patient care is being jeopardized, they shall im- 
mediately take corrective action. The program 
director shall notify the Board. 

(h) Request from the program for the exper- 
imental approach to become a permanent part 
of the program must be submitted 60 30 days 
prior to a regularly scheduled Board meeting. 
No request will be considered until the fmal 
evaluation of the project has been completed and 
submitted, to t^+e Board. 



Statutory A uthority 
90-171.38. 



G.S. 90-ni.23(b)(S); 



•k-k-k-k-k-k-k-k-k-k-k-k-k-k-k-k-k-k 



No 



and Audiologists intends to adopt rule(s) cited as 
21 SCAC 64 .0208. 

J he proposed effective date of this action is June 
I, 1992. 

1 he public hearing will be conducted at I / :00 
a.m. on April 1 , 1992 at the Wilmington Hilton, 
Garden Room, 301 N. Water Street. IJ liming ton, 
N.C. 

JXcason for Proposed Action: To adopt nev.- rule 
interpreting required supervision for student prac- 
ticum to insure adequacy of supervision. 

C omment Procedures: Persons may appear 
orally in person at the hearing or submit written 
material at the hearing or within five days prior 
to the hearing at the Board of Examiners for 
Speech and Language Pathologists, P.O. Box 
5545. Greensboro, North Carolina 27435-0545. 

CHAPTER 64 - BOARD OF EXAMINERS OF 

SPEECH AND LANGUAGE P.\THOLOGISTS 

AND ALDIOLOGISTS 

SECTION .0200 - INTERPRETATIVE RULES 

.0208 SUPERVISION OF CLINICAL 
PRACTICUM 

The Board interprets the word "supervision" 
used in G.S. 90-2*^5(3) to require that the super- 
vision must be performed by a person who holds 
either a valid hcense under this .Article or a Cer- 
tificate of Clinical Competence of the .American 
Speech- Language- Hearing Association, in the 
area for which supervised credit is sought, who 
must be physically present in the same facUity 
and accessible to the student during the per- 
formance of the practicum. 

Statutory Authority 
90-304(3 j; 150B-40(b). 



G.S. 90-294(0(2 J; 



otice is hereby given in accordance with G.S. 
1 50 B- 2 1. 2 that the North Carolina Board of Ex- 
aminers for Speech and Language Pathologists 



TITLE 25 - OFFICE OF STATE 
PERSONNEL 

ly otice is hereby gix'en in accordance with G.S. 
150B-21.2 that the Office of State Personnel in- 
tends to adopt rule(s) cited as 25 NC.4C OIJ 
.1001 - .1011; amend rule(s) cited as 25 NCAC 
ID .0510 - 05/2, .0515: IE .1301 - .1306; IH 
.0602 - .0605, .0621. .0626, .0628: IL .0203 and 
repeal rule(s) cited as 25 NCAC IE .1307. 

1 he proposed effective date of this action is June 
1, 1992. 



1777 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



1 he public hearing will be conducted at 9:00 
a.m. on April 7, 1992 at the Personnel Develop- 
ment Center, 101 W. Peace Street, Raleigh, NC. 



R 



eason for Proposed Action: 



Rule 25 NCAC ID .0510 - To provide guidance and 
clarification to the agencies in implementing the 
RIF policies and procedures. 

Rule 25 NCAC ID .0511 - To provide guidance and 
clarification to agencies and universities in imple- 
menting the policies on Reduction In Force (RIF) 
priority consideration. 

Rule 25 NCAC J_D .0512 - To provide guidance and 
clarification to agencies and universities in imple- 
menting the policies and procedures concerning 
priority reemployment consideration. 

Rule 25 NCAC ID .0515 - To provide guidance and 
clarification to agencies and universities in imple- 
menting the policies and procedures concerning 
RIF. These proposed changes clarify agency re- 
sponsibilities. 

Rule 25 NCAC ^E .1301 - To provide clarification 
and guidance to agencies in implementing the 
program. This change clarifies that it applies to 
prolonged illnesses and does not permit 
"banking" of leave. 

Rule 25 NCAC IE .1302 - To provide guidance and 
clarification to agencies and universities in imple- 
menting the program, this proposed amendment 
indicates that participation is limited to long term 
or prolonged illnesses and specifies the relation- 
ship of this program to Disability benefits. Clari- 
fies familial relationships regarding recipient 
participation. 

Rule 25 NCAC IE .1303 - This proposed amend- 
ment provides that leave may be shared between 
subject and exempt employees if an agency adopts 
a parallel policy for employees exempt from the 
State Personnel Act. 

Rule 25 NCAC IE .1304 - To provide guidance and 
clarification to agencies in implementing this pro- 
gram, this proposed change indicates the require- 
ments for application to the program including the 
filing of a doctor's statement. Further indicates 
the confidential nature of such information. 

Rule 25 NCAC IE . 1 305 - To provide clarification 
and guidance to agencies and universities in im- 
plementing this policy. This proposed amendment 



clarifies the amount of leave that may be trans- 
ferred and clarifies familial relationships in leave 
transfers. 

Rule 25 NCAC IE . 1 306 - This provision proposed 
for amendment to provide clarification and guid- 
ance to universities and agencies in their leave ac- 
counting procedures. 

Rule 25 NCAC IE . 1 307 - This provision proposed 
for repeal due to current inapplicability. 

Rule 25 NCAC IH .0602 - These proposed changes 
provide guidance and clarification to agencies and 
universities on the posting requirements for vacant 
positions. 

Rule 25 NCAC m .0603 - This proposed change 
provides guidance and clarification to agencies 
and universities on the special recruiting programs. 

Rule 25 NCAC IH .0604 - This proposed change 
provides clarification and guidance to agencies 
and universities on application information. 

Rule 25 NCAC IH .0605 - Clarifies agency respon- 
sibilities in special applicant considerations. 

Rule 25 NCAC IH .0621 - Clarifies policy on 
agency certification indicating PD-I07 to be sub- 
mitted to the Office of State Personnel. 

Rule 25 NCAC IH .0626 - Clarifies policies re- 
garding employment priority considerations and 
their relationship to other employment priorities. 

Rule 25 NCAC IH .0628 - Provides guidance and 
clarification to agencies in implementing the vari- 
ous priority consideration policies. 

Rule 25 NCAC IJ .1001 - Clarifies the purpose and 
function of the Employee Assistance Program. 

Rule 25 NCAC ]J .1002 - Outlines the intent and 
purpose of the Employee Assistance Program. 

Rule 25 NCAC U .1003 - Indicates the organiza- 
tional structure of the Employee Assistance Pro- 
gram as being a component of the Office of State 
Personnel and establishes the existence of field 
offices across the State of North Carolina. 

Rule 25 NCAC U .1004 - To provide guidance and 
clarification to agencies and universities. This 
proposed adoption establishes the EARS two pri- 
mary functions as being I J Management Consul- 
tation and 2) Assessment and Referral. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1778 



PROPOSED RULES 



Rule 25 NCAC KI .1005 - This provision establishes 
eligibility for services indicating that EA P Services 
axailable to full time, part-time permanent and 
temporary employees subject to the State Person- 
nel Act. 

Rule 25 NCAC U .1006 - To provide guidance and 
clarification to agencies in implementing this pol- 
icy, this provision establishes and defines self re- 
ferral as a referral made in the absence of 
disciplinary action. 

Rule 25 NCAC IJ .1007 - To provide guidance and 
clarification to the agencies and universities, this 
provision establishes and defines a supervisory re- 
ferral as a referral made within the context of 
disciplinary action. 

Rule 25 NCAC LJ .1008 - To provide clarification 
and guidance to the agencies and universities, this 
provision defines a management directed referral 
as a referral which addresses an extraordinary si- 
tuation considered to be potentially volatile by 
management. 

Rule 25 NCAC IJ .1009 - To provide guidance and 
clarification to agencies and universities in imple- 
menting the policy. This provision outlines the 
requirements regarding the confidentiality of per- 
sonnel records. 

Rule 25 NCAC U_ .1010 - Establishes the responsi- 
bilities of the E.i P to agencies and universities. 

Rule 25 NCAC ^J .1011 - Establishes the responsi- 
bilities of the uni\-ersities and agencies in admin- 
istering the provisions of this policy. 

Rule 25 NCAC IL .0203 - To provide clarification 
and guidance to agencies and universities. This 
proposed amendment indicates that employees re- 
quiring advanced training must receive training at 
the time of initial assignment and at least annually 
thereafter. 

(^ omment Procedures: Interested persons may 
present statements either orally or in writing at the 
public hearing or in writing prior to the hearing 
by mail addressed to Barbara Co^-ard, Office of 
State Personnel. 116 W. Jones St.. Raleigh. S.C. 
2'7603. 

CHAPTER 1 - OFFICE OF STATE PERSONNEL 

SUBCHAPTER ID - COMPENSATION 

SECTION .0500 - SEPARATION 

.0510 PRIORITY REEMPLOYMENT 



CONSIDERATION 

(a) Priority reemployment consideration shall 
be provided to: 

(1) Employees who have met the minimum 
service requirements of G.S. 126-5(c)(l), 
and who occupy or accept and are subse- 
quently separated, for reasons other than 
just cause, from positions designated ex- 
empt as confidential or pobcy-making 
pursuant to G.S. 126- 5(c)(2) and G.S. 
126-5(d)(l). 

(2) Employees with permanent appointments, 
employees and apprentices with trainee 
appointments who have completed six 
months of service, and employees who 
attained permanent status prior to enter- 
ing a trainee appointment, who a#e o e pa 
ratod have received notification of 
imminent separation due to shortage of 
funds or work, abolishment of a position 
or other material changes Ln duties or or- 
ganization by the process commonly 
known as reduction-in-force. .An em- 
ployee who IS separated at the end of a 
time-hmited appointment is not ehgible 
for pnority consideration. 

(b) if* affording pnonty roomploymont consid 
oration. Employees separated from policy- 
making confidential exempt positions for reasons 
other than cause ohall rc>coi' < 'o fos* priority over 
omployooo soparatod by roduction i» foroo. and 
employees with priority status due to reduction 
in force have equal priority. 

(c) The intent of priority consideration for 
employees separated from exempt positions is to 
enable a return to the career service at a salary 
grade equal to that held in the most recent sub- 
ject position. For employees recei\'ing notifica- 
tion of separation oeparatod through reduction in 
force, the intent is to continue or restore em- 
ployment at a salary grade equal to that held 
prior to f .e paration. at the time of notification. 
In either instance, the salary grade and not the 
salary rate is the controlling factor. 

(d) A person with priority status who has rea- 
son to beUeve priontv consideration was denied 
in a selection decision mav appeal directly to the 
State Personnel Commission through the estab- 
lished contested hearing process. 

Statutory .Authority G.S. 
I26-5(c)(2): 126-5(d)(l). 



l26-5{c)(I ); 



.0511 REDUCTION IN FORCE 

PRIORITY CONSIDER.\TION 

Employooo ooparatod I'pon notification of im- 
minent separation through reduction in force, an 
employee shall receive priority reemployment 



1779 



6:23 NORTH CAROUN.4 REGISTER March 2, 1992 



PROPOSED RULES 



consideration for a period of 12 months pursuant 
to G.S. 126-7. l(cl). The following conditions 
apply: 

(1) Within the agency or institution where the 
notification of separation occurred (parent 
agency), an employee scheduled to be sepa- 
rated through reduction in force shall be of- 
fered any available vacant position of a 
salary grade level equal or below that held 
before oopgration, at the time of notification, 
pro\ided the employee meets the qualifica- 
tions for the position and could jjerform the 
job in a reasonable length of time, including 
normal orientation and training given any 
new employee. ¥h» only e xception pfe- 

T^TTTTTTC cm ITI T\7t EI I TTTTTT 1_1 1 . < I Ui i L.X.' ^TTT^^^ ^^P vT^W 

prooKiotonoo »f s» "undorotudy" who h*t4 
boon groomLid by Ae agency te- fill tli# va- 
6a»t pooition, within a formally understood, 
written arrangement aft4 structured plan ef 
development. 

(2) Within aU other state agencies and insti- 
tutions, the omployoe shall be interviewed, 
aB4 ' . ' ■ 'here qualified fef the vacant position, 
shall be an employee with priority status and 
qualified for the vacant position, shaU be 
inter\'iewed and offered the position prior to 
employing anyone who is not a f)ermanent 
state employee. 

(^ Aft employee separated through reduc 
tion in force must claim priority reemploy 
ment consideration at the time ef separation 
through notification te the parent agency »f 
institution personnel office ef the priority is 
forfeited. 

f4^ (3} For employees separated receiving no- 
tification of separation from trainee or flat- 
rate positions, who are eligible for priority 
reemployment consideration, the salary 
grade for which priority is to be afforded 
shall be determined as follows. For em- 
ployees in flat rate positions, the salary grade 
level shall be the salary grade which has as 
its mid-point, a rate nearest the flat rate sal- 
ary of the eligible employee. For employees 
in trainee status the salary grade level shall 
be the salary grade of the fuU class. 

f^ (4} An employee separated notified of im- 
minent separation through reduction-in- 
force while actively possessing priority 
reemployment consideration shall retain the 
current initial priority for the remainder of 
the twelve month priority period. A new 
priority period shall then be afforded at the 
salary grade and status of the position held 
at the most recent notification of separation, 
■fhe length of this additional priority period 
shall be equal to the time between the expi- 



ration dates of the old and the new priority, 
assuming that the second twelve month pe- 
riod started on the date of the most recent 
separation, notification. 

(4) £5} Priority reemployment consideration 
will not be afforded to an employee who, 
after receiving formal notice of impending 
reduction-in-force, retires or applies for re- 
tirement prior to the separation date. An 
employee who apphes for retirement after 
being separated through reduction-in-force 
may exercise priority reemployment consid- 
eration. 

f?^ (6| Priority reemployment consideration is 
intended to provide employment at an equal 
employment status to that held at the time 
of notification. Acceptance of a position at 
a lower appointment status will not affect 
priority. Employees separated notified of 
separation from permanent full-time posi- 
tions shall have priority to permanent full- 
time and permanent part-time positions. 
Employees separated notified of separation 
from permanent part-time positions shall 
have priority to permanent part-time posi- 
tions only. 

f8^ (21 Employees who have priority reem- 
ployment status at the time of application 
for a vacant position, and who apply during 
the designated agency recruitment period, 
will be continued as priority appUcants until 
the selection process is complete. 

(^ Aft employe e scheduled te be separated 
through reduction in force f»ay docUno a 
position at a low e r level aR4 retain his pri- 
ority. 
fW)) (_8) An employee scheduled t» be separated 
through reduction m force, »f with priority 
status, may not decline interviews or offers 
for positions within 35 miles of the employ- 
ee's original work station without losing his 
priority, if the position is at an appointment 
status and salary grade equal to or greater 
than that held at the time of notification. 
separation. 
fW^ Aft employee with priority reemployment 
consideration may accept , m accordance 
with his priority, a permanent full tim e «>f 
permanent part time state position at a sal- 

cr^T^ t^Tt^ow w^^T^^r iiiui I 1 1 rut ihjivj u i 1 1 i.\j > u. i ic 

J-*4 ■- f-» --« --1 «- fi 4 ■ .~t «-i i-vi- !-» * . t «-v« T-v i-v T- •-> r-\ - w~^j^i~tttr~kn i~i t ■ t Tt 1 r 

level, aft4 retain such consideration fof the 
remainder ef the t' . s e l' . e months priority f»e- 

(0) An employee with priority status may ac- 
cept a temporary position at any level and 
retain his/her priority consideration. 



6:25 NORTH CAROLINA REGISTER Match 2, 1992 



1 7 SO 



PROPOSED RULES 



(10) W^en priority has been granted for a lower 
salaiA' grade than held at the time of notifi- 
cation, the employee retains priority for 
higher salary' grades between that of his cur- 
rent position and that held at the time of his 
notification of separation. 

f4-3^ (11) /\n employee with priority reemploy- 
ment consideration may accept employment 
outside state government or in a state posi- 
tion not subject to the State Personnel Act 
and retain such consideration through the 
twelve months priority period. 

fy^ ( 12) Priority reemployment consideration 
is cont: . idcrod te- b© oatiafi e d afi4 » terminated 
when an eligible employee: 

(a) refuses an inten,iew or offer for a position 
withm 35 miles of the employee's onginal 
work station if the position is at an ap- 
pomtment status and salary grade equal 
to or greater than that held at the time 
notification: 

(b) accepts a position equal to or greater than 
the salarA' .grade level and employment 
status of the position held at the time of 
notification: or 

(c) has received 12 months priority reem- 
ployment consideration, omployoo c . opa 
ratod ef ochodulod to be ooparatod acc e pts 
a pooition e qual to »f gr e at e r than tbe sa- 
laf¥ grad e l e v e l aft4 omploymont statuo »f 
tfee position from which separated ©f aft 
e mploy ee 's p e riod ef tsvolvo months pfi- 
ority roomploymont conoidoration onds. 

(13) Priority reemployment consideration for 
employees notified of or separated through 
reduction-in-force does not include priontv 
to any pohcy-making confidential exempt 
position. 

(14) WTien an employee with priority status 
accepts a position at a lower salary grade and 
is subsequently terminated by disciplinary 
action, any remaining priority consideration 
ceases. 

Statutory Authority G.S. 126-4(6), ( 10). 

.0512 POLICY-M.\KING/CONFIDENTI.\L 

EXEMPT PRIORITY CONSIDER.ATION 

(a) Employees removed from policy- 

making confidential exempt positions, for rea- 
sons other than cause, shall receive priority 
reemployment consideration as follows: 

(1) An eligible employee with 10 or more 
years cumulative service in subject posi- 
tions, includmg the immediately preceding 
12 months prior to placement in an ex- 
empt position, shall be reassigned to a 
subject position within the same depart- 



ment or agency, or if necessary within 
another agency, at the same salary grade 
and at a salan.' rate which bears a st«^ re- 
lationship with the midpoint of the salary 
range comparable to that of a* his most 
recent subject position. The reassignment 
must be within a 35 mile radius of the 
exempt position from which separated. 
If an employee is offered a reassigimient 
which meets these criteria and refuses to 
accept, the priority is terminated. 
(2) An eligible employee who has the mini- 
mum service requirements for permanent 
status but less than 10 years cumulative 
service in subject positions prior to place- 
ment in an exempt position, shall be per- 
mitted a one-time reemployment priority, 
to be exercised by the employee within 
one year following the effective date of his 
separation. Upon notice to the agency 
that priority is being requested, the em- 
ployee shall be offered any available, 
non-exempt position for which he has 
formally applied and is qualified for, when 
the position applied for is equal to or be- 
low the salary grade of the most recent 
subject position held prior to separation; 
provided, however, that a prior offer may 
be made to a person qualified under Sec- 
tion 1 above, or to a current stat e an em- 
ployee from the same agency m which the 
vacancy occurs with groator cumulativo 
state sonico. priority status due to re- 
duction in force. If there is not a priority 
applicant from the same agency in the 
applicant pool, an offer can be made to a 
current state employee with greater cu- 
mulative state service. 

(b) As exercised by the employee, this priority 
consideration shall expire when a formal offer is 
extended for employment in the position being 
applied for. A vacant position v.iLl not be con- 
sidered available, for purposes of this policy, if 
an "understudy" has been groomed by the 
agency to fdl it, under a pre-existing, formally 
understood, written arrangement, within a struc- 
tured plan of development. 

(c) If an eligible policy-making exempt em- 
ployee applies for and accepts a position through 
the regular, non priority selection process, which 
is at a salary^ grade below that held in his most 
recent subject position, that person shall retain 
the one-time priority for higher level positions for 
the remainder of the twelve month period. 

(d) If an eligible person accepts employment 
outside State Government, the one-time priority 
shall be continued through the one-year maxi- 
mum at the person's request. 



1781 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



Statutory Authority G.S. 126-5. 

.0515 AGENCY RESPONSIBILITIES 

(a) It is the employing agency's responsibility 
to inform notify the employee of impending sep- 
aration as soon as possible and to inform the 
employee of the priority reemployment consid- 
eration to be afforded. If the employee does not 
want assistance in finding another State job, the 
agency should get a written statement to that ef- 
fect, and file a copy with the Office of State Per- 
sonnel. For employees wishing to claim priority 
r ee mploym e nt consideration, be advantaged by 
the automated priority referral system operated 
by the Office of State Personnel, the separatmg 
agency must submit an appbcation to the Office 
of State Personnel roquosting priority consid e r 
Qtion. simultaneous with employee notification. 
The application Ff»¥ h% oubmittod a« t i oon a* the 
ooparation i* Icnown. afi4 should be designated 
as "reduction-in-force" or "pohcy-making ex- 
empt". 

(b) It is also an agency responsibility to notify 
the Office of State Personnel in writing when: 

(1) .•\n ehgible person accepts a position 
which satisfied his priority reemployment 
consideration. 

(2) A person s e parated by with priority status 
due to reduction-in-force is offered a lat- 
eral transfer or promotion and refuses, 
unless the position offered is more than 
thirty-five miles from the employee's ori- 
ginal work station. 

(3) An eligible employee separated from a 
policy-making or confidential exempt po- 
sition exercises his priority and then re- 
fuses an employment offer. 

(4) Other conditions which would satisfy or 
terminate an ehgible employee's priority 
reemployment consideration are discov- 
ered. 

Statutory Authority G.S. 126-4(6), ( JO). 

SLBCH AFTER IE - EMPLOYEE BENEFITS 

SECTION .1300 - VOLLNTARY SHARED LEAVE 
PROGR.WI 

.1301 PURPOSE 

There are occurrences brought about by serious 
and prolonged medical conditions that cause 
employees to exhaust all available leave and 
therefore be placed on leave without pay. It is 
recognized that such employees forced to go on 
leave without pay could be without income at the 
most critical point in their work hfe. It is also 
recognized that fellow employees may wish to 



donate voluntarily some of their vacation leave 
so as to provide assistance to a fellow state em- 
ployee, rhis pohcy provides an opportunity for 
employees to assist another employee on a one 
to one basis, when a medical condition requires 
absence from duty for a prolonged period of 
time, resulting in a possible loss of income due 
to a lack of accumulated leave. U does ftet- p^f- 
HMt- "banldng" s( loavo. 

Statutory Authority G.S. J 26-4. 

.1302 POLICY 

(a) In thos e cases of a serious and prolonged 
medical condition an employee may apply for or 
be nominated to become a recipient of leave 
transferred from the vacation leave account of 
another employee within their agency or from the 
sick leave or vacation account of ^ immediate 
family member in any agency. For purposes of 
this pohcy, medical condition means medical 
condition of an employee or a family member 
[spouse, parents, children (including step re- 
lationships) or other dependents hving in the 
employee's household] of such employee that is 
hkely to require an employee's absence from duty 
for a prolongod period of at least 20 workdaxs. 
time aft4 te- r e sult ift a substantial less »f moomo 
te- 4i« omployoo 4»e te Umitod loa^'o m tfee em- 
ployeo'o loavo account. The mtent of this pohcy 
is to allow one employee to assist another in 
cases of a crisis involving a serious or prolonged 
medical condition. It is not the intent of this 
pohcy to apply to incidental, normal short-term 
medical conditions. The transfer and use of va- 
cation or sick leave from one individual to an- 
other is specifically prohibited unless allowable 
within this policy. e« a oharod basis fof any 
purpos e othor than apocUiod hf tfe** pohcy is 
prohibited. 

(b) An employee who has a medical condition 
and who receives benefits from the DisabUity In- 
come Plan of North Carolina (DIPNC) is not 
ehgible to participate in the shared leave pro- 
gram. Shared lea\'e . however, may be used dur- 
ing the required waiting penod and following the 
waiting penod provided DIPNC benefits have 
not begun. 

(c) Participation in this program is limited to 
1,040 hours, either continuously or, if for the 
same condition, on a recurring basis. However, 
management may grant employees continuation 
in the program, month by month, for a maxi- 
mum of 2,080 hours, if management would have 
otherwise granted leave without pay. 

(d) Subject to the maximum of 1 .040 hours, 
the number of hours of leave an employee can 
receive is equal to the projected rccover\' or 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1782 



PROPOSED RULES 



treatment period, less the employee's combined 
vacation and sick leave balance as of the begin- 
ning of the recovers' or treatment period. The 
employee must exhaust all available leave before 
using donated leave. 

(e) (-d-)- /Vn employee on workers' compensation 
leave who is drawing temporary total disability 
compensation may be eligible to participate in 
this program. Use of donated leave under the 
workers' compensation program would be lim- 
ited to use during the required waiting period and 
to the supplemental leave schedule published by 
the Office of State Personnel. 

(f) This lea\e does not apply to short-term or 
sporadic conditions or illnesses that are common, 
expected, or anticipated. This would include 
such things as sporadic, short-term recurrences 
of chronic allergies or conditions; short-term ab- 
sences due to contagious diseases: minor or elec- 
tive surgery'; short-term, recurring medical or 
therapeutic treatments; or normal pregnancy, in- 
cluding deUverv by Caesarean section. These 
examples are illustrative, not all inclusive. Each 
case shall be examined and decided based on its 
conformity to policy intent and must be applied 
consistently and equitably. 

Statutory Authority G.S. 126-4. 

.1303 ADMINISTRATION 

All departments and universities shall develop 
policies and procedures to implement this pro- 
gram. If an agency adopts a parallel polic\' for 
employees exempt from the State Personnel Act 
who are in leave earning and reporting positions, 
leave may be shared between subject and exempt 
employees. WTien implemented by a department 
or university, this program shall be administered 
by and within the parent department or univer- 
sity of the recipient employee subject to the 
availability of funds and under the conditions set 
out in 25 NCAC IE .1304, .1305, .1306 and 
T307. 

Statutory Authority G.S. 126-4. 

.1304 QUALIFYING TO PARTICIPATE 
IN VOLUNTARY SHARED LEAVE 
PROGRAM 

In order to participate in the Voluntary Shared 
Leave Program, an employee must meet the fol- 
lowing conditions: 

(1) Employee must be in permanent, proba- 
tionax}', or trainee appointment status. 

(2) By letter of application to the agency head, 
recipient shall apply, or be nominated by a 
fellow employee to participate in the pro- 
gram. A prospective recipient may make 



application for voluntary shared leave at 
such time as medical evidence is available to 
support the need for lea\'e beyond the em- 
ployee's a\'ailable accumulated leave. The 
agency may estabhsh internal guidelines to 
facilitate the administration of this process. 

(3) Application for participation would mclude 
name, social security number, classification, 
parent agency, jurisdiction from which do- 
nations of leave would be requested, de- 
scription of the medical condition and 
estimated length of time needed to partic- 
ipate in the program. A doctor's statement 
must be attached to the application. The 
Privacy Act makes medical information 
confidential; therefore, pnor to making the 
employee's status public for purpose of re- 
ceiving shared leave, employees must sign a 
release to allow the status to be known. 

(4) The parent department or university shall 
review the merits of the request and approve 
or disapprove. Agency heads may chose to 
delegate the responsibility for reviewing the 
validity of requests to an existing peer group 
or establish a committee for this purpose. 
Such a committee may also be used in an 
advisory capacity to the agency head. 

(5) Estabhshment of a leave "bank" for use by 
unnamed employees is expressly prohibited. 
Leave must be donated on a one-to-one 
personal basis. 

(6) An agency with less than 200 employees 
may, with concurrence of another agency 
and with prior appro\al of the State Per- 
sonnel Director, establish agreements with 
another small agency(ies) to be treated as 
one agency for purposes of this policy. 

f?) Pef program evaluation purpococ during 
the tftai poriod, oaoh agonoy uhall forward a 
copy ef each application roooived fof r e cipi 
onto, indicating approval e* disapproval, to 
tfe» OffioQ ef Stat e Foroonnol. Other oum 
mary information, moluding number ©f Fe- 
quootfl, approvals, dioapproi i' als, amount ©f 
leai i 'e donated afi4 used wili h% requested to 
develop recommendations fof tb« future ©f 
tfeis program. 

Statutory Authority G.S. 126-4. 

.1305 DONOR GUIDELINES 

(a) A non-family member donor may contrib- 
ute only vacation leave to another employee 
within the same department or university. A 
non-family donor may not contribute leave out- 
side the parent agency. A family member who 
is a state employee may contribute vacation ©f 
siek leave to another immediate family member 



1783 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



state employee in any department or university, 
provided the recipient employee has been ap- 
proved for leave transfer under this program. 
P»f tranf i fer ©f Sick leave may also be transferred 
to an mimcdiate family member in any depart- 
ment or uni\'ersitv if the family member is a m- 
modiato family mombor is dofinod as spouse, 
pajontfi. parent, oluldr e n child (including step re- 
lationships) aft4 aft¥ or other dopondonts de- 
pendent li\'ing in the employee's household. For 
transfer of vacation leave to an immediate family 
member, immediate family is defmed as spouse, 
parents, children, brother, sister, grandparents, 
and grandchildren. Also included are the step, 
half, and in-law relationships. 

(b) Minimum amount to be donated is four 
hours. Aft omployoo fftav havt? »» moro than 80 
hours ©f oombinod i i 'aoation afi4 stek l e ave m hi* 
account to becom e ohgiblo to Hse donalod l e av e . 
An employee family member donating sick leave 
to a qualified family member under this program 
may donate u£ to a maximum of 1040 hours but 
may not reduce hi* »f t*eF the sick leave account 
below 40 hours. 

(c) The maximum amount of vacation leave 
allowed to be donated by one individual is to be 
no more than the amount of the individual's an- 
nual accrual rate. However, the amount donated 
is not to reduce the donor's vacation leave bal- 
ance below one-half of the annual vacation leave 
accrual rate. 

(d) Leave donated to a recipient's leave account 
is exempt from the maximum accumulation car- 
rs-over restrictions at calendar year end. 

(e) An employee may not directly or indirectly 
intimidate, threaten, coerce, or attempt to intim- 
idate, threaten, or coerce, any other employee for 
the purpose of interfering with any right which 
such employee may have with respect to donat- 
ing, receiving, or using annual leave under this 
program. Such action by an employee shall be 
grounds for disciplinary' action up to and includ- 
ing dismissal on the basis of personal conduct. 
Individual leave records are confidential and only 
individual employees may reveal their donation 
or receipt of leave. The employee donating leave 
cannot receive remuneration for the leave do- 
nated. 

Statutory Authority G.S. 126-4. 

.1306 LE.AVE .\CCOLNTING PROCEDLRES 

The following conditions shall control the ac- 
counting and usage procedures for leave do- 
nations in this program: 

( 1) To facilitate the administration of the pro- 
.gram, the agency may establish a specific 



time period dunng which lea\e can be do- 
nated. 

(2) f4-^ Each agency shall establish a system of 
leave accountabihty which will accurately 
record leave donations and recipients' use. 
Such accounts shall provide a clear and ac- 
curate record for financial and management 
audit purposes. 

(3) f^ Withdrawals from recipient's leave ac- 
count wiU be charged to the recipient's ac- 
count according to usual leave policies. 

(4) (4^ Oft Ae date ef impl e m e ntation ift asy 
agency. Leave transferred under this pro- 
gram will be available for use on a current 
basis or may be retroactive for up to 30 cal- 
endar days to substitute for leave without 
pay or advanced vacation or sick lea\e al- 
ready granted to the leave recipient. R«- 
troacti' i ity is limited to ^ calendar days, 
from Ae implementation date ©f the policy 
ift the agency. 

(5) {A} At the expiration of the medical condi- 
tion, as determined by the agency, any un- 
used leave in the recipient's donated leave 
account shall be treated as follows: 

(a) The vacation and sick leave account bal- 
ance shaU may not exceed a combined 
total of 40 m hours. 

, wit h 



would be admihiotored i» i 
^ NCAC 4fe ^r^ 

(b) fe) .Any additional unused donated leave 

b e yond TO hours will be returned to the 
donor(s) on a pro rata basis and credited 
to the lea\'e account from which it was 
donated. Fraction Fraction! s) of one 
hour shall not be returned to an indh idual 
donor. 

(c) fd^ Each approved emergency medical 
condition shall stand alone and donated 
leave not used for each approved incident 
ift aooordanco with the provisions »f this 
Pi.ulo shall be considered as having sep i od 
its purpose, shall tese its identity, aft4 
shall be d e leted aft4 the account closed. 
shall be returned to tjie donor(s). Em- 
ployees who donate "excess" leave (any 
amount above the 240 maximum allow- 
able carryover) at the end of December 
may not ha\'e it returned. Their prorated 
share wiU be lost the same as it would 
have been at the end of December. 

(6) If a recipient separates from state go^^em- 
ment, participation in the program ends. 
Donated leave shall be returned to the 



donor(s) on a pro rata basis. 
Statutory Authority G.S. 126-4. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1784 



PROPOSED RULES 



.1307 DURATION OF PROGRAM 

This program » fof a Hve yeaf poriod 1 
at- its offL'Otivo ^^^ aad- expiring ^ve yooro from 
t^tat- date*. This program v^ be ovoluatod ^ th« 
Stato P i^ r ' ionnel Director during the ^¥e y#aF pe- 
Fie4 to dt'tormin e tf rt mt^ e ts rt* purpooo. ¥be 
Dir e ctor r ^ hall rocommond contmuing, amending, 
©f diocontinumg tfee program fof action by Ae 
State PerDonnel Commiooion. 

Statutory Authority G.S. 126-4. 

SUBCHAPTER IH - RECRUITMENT AND 
SEUECTION 

SECTION .0600 - GENERAU PROMSIONS 

.0602 POSTING AND ANNOUNCEMENT OF 
VACANCIES 

(a) Vacant positions to be filled in state gov- 
ernment shall be publicized by the agency having 
the vacancy to permit an open opportunity for 
all interested employees and applicants to apply. 
The term "agency" as used in this Subsection 
includes all state departments, institutions, com- 
missions, and boards. 

(b) If the decision is made, initially or at any 
time a vacancy remains open, to receive appli- 
cants from within the overall state government 
workforce, that vacancy shall be listed with the 
Office of State Personnel for the purp>ose of in- 
forming current state employees of the opening. 
Such vacancies shall have an application period 
of not less than seven work days from the time 
the hsting is received by the Office of State Per- 
sonnel. Each vacancy for internal posting or 
listing with the Office of State Personnel will be 
described in an announcement which includes at 
minimum the title, salar>- range, key duties, 
knowledge and skill requirements, minimum ed- 
ucation and experience standard, the application 
period and the appropriate contact person. 
Posting requirements shaE not apply to: 

(1) Vacancies which must be used to meet 
management necessity, for which an 
agency wiU not openly recruit. Examples 
include vacancies committed to a budget 
reduction, vacancies used for disciplinary 
transfers or demotions, use of an existing 
vacancy to avoid reduction in force, 
transfer of an employee to an existing 
opening to avoid the threat of bodily 
harm, and the promotion of an employee 
into an opening under a formal, pre-ex- 
isting "understudy arrangement". 

(2) Vacancies for positions which have been 
designated pohcv-making exempt under 
G.S. 126-5(d). 



(3) Vacancies which must be filled imme- 
diately to prevent work stoppage in con- 
stant demand situations, or to protect the 
pubhc health, safety, or security. 

(4) Vacancies which are not filled by open 
recruitment, but rather by specific and 
targeted recruitment of special groups for 
the Caroors m Go' i ommont, Model Co- 
operative Education and state government 
intern programs. 

(5) Vacancies for positions to be filled by chief 
deputies and chief administrative assist- 
ants to elected or appointed department 
heads; and vacancies for positions to be 
fiUed by confidential assistants and confi- 
dential secretaries to elected or appointed 
department heads, chief deputies, or chief 
administrative assistants. 

The decision to exercise a vacancy posting ex- 
ception based upon Paragraphs (b)(1) and (3) of 
this Rule shall be the responsibility of the agency 
head. The Office of State Personnel is available 
upon request to provide counsel and guidance in 
instances of uncertainty. 

(c) If the decision is made, initially or at any 
time a vacancy remains open, to receive appli- 
cants from within the overall state government 
workforce, that vacancy shall be listed with the 
Office of State Personnel for the purpose of in- 
foiming current state employees of the opening. 
Such vacancies shall have an apphcation penod 
of not less than seven work days from the time 
the listing is received by the Office of State Per- 
sonnel. Each vacancy for internal posting or 
listing with the Office of State Personnel wiU be 
described in an announcement which includes at 
minimum the title, salary^ range, key duties, 
knowledge and skill requirements, minimum ed- 
ucation and experience standard, the application 
period and the appropriate contact person. The 
foregoing posting requirements shall not apply 
to: 

(1) Vacancies which must be used to meet 
management necessity, for which an 
agency will not openly recruit. Examples 
include vacancies committed to a budget 
reduction, vacancies used for disciplinary 
transfers or demotions, use of an existing 
vacancy to avoid reduction in force, 
transfer of an employee to an existing 
opening to avoid the threat of bodily 
harm, and the promotion of an employee 
into an opening under a formal, pre-ex- 
isting "understudy arrangement". 

(2) Vacancies for positions which have been 
designated policv-making exempt under 
G.Sri26-5(d). 



1785 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



(3) Vacancies which must be filled imme- 
diately to prevent work stoppage in con- 
stant demand situations, or to protect the 
pubUc health, safety, or security. 

(4) Vacancies which are not filled by open 
recruitment, but rather by specific and 
targeted recruitment of special groups for 
the Careers m Govommont, Model Co- 
operative Education and state government 
intern programs. 

(d) Any vacancy for which an agency wishes 
to consider outside applicants or outside appli- 
cants concurrently with the state government 
work force shall be listed simultaneously with the 
appropriate Employment Security Commission 
office, as required by G.S. 96-29, and with the 
Counooling afi4 Caroor Support Unit Employ- 
ment Practices and Priorities Division of the Of- 
fice of State Personnel. Listings will include the 
appropriate announcement information and va- 
cancies so Usted shall have an application period 
of not less than seven work days. 

(e) If an agency makes an initial effort to fiU a 
vacancy from within the state government work 
force only, and is unsuccessful, the Usting with 
the Employment Security Cormnission would 
take place when a decision is made to recruit 
outside. A vacancy which an agency will not fdl 
for any reason should not be listed; if conditions 
change, it should then be treated as a new va- 
cancy. 

(f) The Office of State Personnel may withhold 
approval for an agency to hll a job vacancy if the 
agency cannot prove to the satisfaction of the 
Office of State Personnel that it comphed with 
these posting requirements. If any agency hires 
any person in violation of these posting require- 
ments, and it is determined bv the Office of State 
Personnel that the employment of the person 
hired must be discontinued as a result of the 
posting violation, the agency shall pay such per- 
son for the work performed durmg the period of 
time between his/her initial employment and se- 
paration. 

(g) When a vacancy is listed with the Employ- 
ment Security Commission, the listing agency 
may not fill the job opening for at least 21 days 
after the Usting has been filed and the local office 
with which the listing is made shall be notified 
by the agency within 15 days after the vacancy is 
filled. Upon agency request the Employment 
Security Commission may waive the waiting pe- 



riod for filling listed vacancies in job classifica- 
tions for which the State Personnel Commission 
has recognized candidates are in short supply if 
it hinders the agency in providing essential ser- 
viccs. 



Statutory Authority G.S. 96-29; 126-4(4); 
l26-5(d); 126-7. 1. 

.0603 SPECIAL RECRUITING PROGRAMS 

Exomplos »f Gpooial rocruiting progromo af» ift- 
tomC f hipD oncouraging minority cajooro aft4 the 
Carooro te Govomm e nt Program for coUogo 
graduatoo ift occupational aroao ef nood. The 
Office of State Personnel operates certain, spe- 
cially designed recruiting programs from the 
viewpoint of State Government as a total em- 
ployer, which are targeted toward persons with 
skills or attributes important to workforce com- 
position objectives. Within the context of these 
programs, normal posting and announcement 
requirements may be modified to target the de- 
sired objective. 

Statutory Authority G.S. 126-4(4). 

.0604 APPLICANT INFORMATION AND 
APPLICATION 

(a) The primary source of pubhc information 
and referral for vacancies in state government is 
the Employment Security Commission. Inter- 
ested persons should contact their local ESC Job 
Service Office. 

(b) AppUcants applying for a state vacancy 
must complete and submit a State Application 
Eorm (Eorm PD-107 or its equivalent) to the 
hiring authority. In completing an Application 
Eorm, persons subject to registration under the 
Mihtary Selective Service Act (50 United States 
Code, Appx Section 453) must certify compli- 
ance with such registration requirements to be 
eligible for State employment, as required by 
G.S. 143B-421.1. The knowing and willful fail- 
ure of a subject person to certify comphance 
when submitting an Application apphcation for 
formal consideration, or to falsely certify com- 
phance, may be grounds for dismissal from em- 
ployment. It is not necessary for agencies to 
accept a State Apphcation Eorm in the absence 
of an actual vacancy under active recruitment. 
Agencies may accept resumes, adopt an interest 
card system, or develop some other method of 
recording public interest in vacancies which may 
develop in the future. 

(c) Each agency shall be responsible for inves- 
tigating the accuracy of statements and the data 
contained in each individual's apphcation, in- 
cluding the verification of academic and profes- 
sional credentials. The agency shall inform the 
appUcant in writing that credentials must be ver- 
ified within 90 days and prior to the granting of 
permanent status. 

(d) When a vacancy is hsted with the Employ- 
ment Security Commission, the local office with 



6:2i NORTH CAROLINA REGISTER March 2, 1992 



1786 



PROPOSED RULES 



which the listing is made shall be notified by the 
agency within 1 5 days after the vacancy is filled. 

Statutory! Authority G.S. 96-29; 126-4(4). 

.0605 SPECIAL APPLICANT CONSIDERA- 
TIONS: AGENCY RESPONSIBILITIES 

(a) Priority Reemployment Consideration. 
Formor State employees who have boon sopa 
rated rccei\'ed notification of imminent sepa- 
ration due to reduction in force or romoi i a] who 
have been removed from a policy- 
making confidential exempt position, for reasons 
other than cause, are afforded priority reemploy- 
ment consideration under the State Personnel 
Act. ss^ Stat e Poroonnol Commission Policy. 
A list of all classes having applicants with priority 
status will be sent to all agencies by the Office 
of State Personnel and will be updated fre- 
quently. When a vacancy occurs, the appointing 
authority must review the latest list before initi- 
ating any recruiting efforts. If the classification 
of the vacancy appears, a priority certificate must 
be requested and the appropriate priority af- 
forded. WTiile in most instances priority appli- 
cants will be on a priority certificate for classes 
of their principal qualification, these applicants 
are free to apply for any vacancy of their choice. 
If determined qualified, regardless of whether 
they are currently on a priority certificate for the 
class of the vacancy, the priority must be af- 
forded. 

(b) \'eteran's Preference. State law requires 
that employment preference be given to veterans, 
widows of veterans, and wives of disabled veter- 
ans. Persons entitled to such preference must so 
indicate on any application filed. Verifying doc- 
umentation may be required by the agency if de- 
sirable. 

(c) Age Limitations. 

(1) Minimum Age - The minimum employ- 
ment age is eighteen. Exceptions are 
provided under the law if the employing 
agency procures an Employment Certif- 
icate from the County Social Services 
Department. 

(2) Law Enforcement Officers - Law enforce- 
ment officers must be at least twenty-one 
years of age. 

(3) Vlaximum Age - There is no maximum 
age for employment. Aft applicant must 
se^ ^ rojoctod e» age alono. 

(d) Employment of Relati\es. Members of an 
Lmmediate family shall not be employed within 
the same agency if such employment will result 
in one member super\ismg another member of 
his immediate family, or if one member will oc- 
cupy a position which requires influence over 



another member's employment, promotion, sal- 
ar>' administration and other related management 
or personnel considerations. The intent of this 
provision is to avoid an employment relationship 
which would create problems within a work unit 
or offend the public sense of equal opportunity. 
The term immediate family includes wife, hus- 
band, mother, father, brother, sister, son, daugh- 
ter, grandmother, grandfather, grandson and 
granddaughter. Also included are the step-, half- 
and in-law relationships based on the listing in 
this Paragraph. It might also mclude others liv- 
ing within the same household or otherwise so 
closely identified with each other as to suggest 
difficulty. 

Statutory Authority G.S. 126-4(4); 128-15. 

.0621 AGENCY CERTIFICATION 

Each agency must certify on the Form PD-107 
submitted to the Office of State Personnel for the 
certification of a new emplovee that academic 
and professional credentials have been or wlU be 
verified in accordance with statutes, policies, and 
procedures. Lack of such certification will re- 
quire that the forms implementing the hiring 
process be placed in suspense until the proper 
certification is supplied. 

Statutory .Authority G.S. 126-4; 126-30. 

.0626 RELATIONSHIP TO OTHER 
EMPLOYMENT PRIORITY 
CONSIDERATIONS 

(a) Policy-making exempt employees, employ- 
ees soparatod by reduction m forc e , with priority 
status, employees disabled on the job state em- 
ployees separated from policy-making exempt 
jobs for reasons other than cause, state employ- 
ees notified of or separated by reduction in force 
and on active prionty reemployment status, and 
employees returning to state employment fol- 
lowing a disability due to on-the-job mjur>- are 
not considered outside appUcants for the purpose 
of the promotional priority policy. Existing 
policy and statutory priorities which apply to 
these employees shall be afforded before the 
promotional priority for current state employees. 

(b) Affirmative Action Considerations - Affir- 
mative action policy requires that hiring authori- 
ties act affirmatively in minimizing or elumnating 
underrepresentations of women, minorities and 
handicapped persons throughout all le\els of the 
state's workforce. Therefore, when promotional 
opportumties exist in occupational categories 
where there is an established underrepresentation 
of minorities, women, and handicapped persons, 
and the selection decision wiU be made from 



7757 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



among applicants in the existing state workforce, 
hiring authorities shall consider and support 
these affirmative action needs as usual. The 
promotional priority for current employees only 
applies when the applicants being considered in- 
clude persons from outside state government. 
When the selection consideration involves out- 
side applicants in addition to current state em- 
ployees, and a current state employee has 
substantially equivalent qualifications as those of 
the highest ranking outside appHcant who hap- 
pens to be a member of the underrepresented 
group, the state employee shall receive the job 
offer. However, affirmative recruitment efforts 
shall be taken, both internally and externally, to 
optimize the presence of well qualified persons 
from the underrepresented categories in the ap- 
plicant pool. 

Staluton' Authority G.S. 126-4; 126-7.1; 126-16. 

.0628 RESOLLTION OF CONFLICT BETWEEN 
EMPLOYMENT PRIORITIES 

In the event that the applicant group includes 
both a qualified non-state employee veteran and 
a qualified current state employee with perma- 
nent status as defmed by G.S. 126-39 who is 
seeking a promotional opportunity, the current 
state employee shall be offered the position if the 
appointing authority determines, consistent with 
the promotional priority policy, that the quali- 
fications of the veteran and the current state em- 
ployee are substantially equal. The same priority 
over any non-state employee applicant shall ap- 
ply to state employees separated from policy 
making exempt positions for reasons other than 
cause, state employees notified and or separated 
by reduction in force and on active priority re- 
employment status, and employees returning to 
state employment following a disability due to 
on the job injury. 

Statutory Authority G.S. 126-4; 126-7. 1; 126-39. 

SUBCHAPTER IJ - EMPLOYEE RELATIONS 

SECTION .1000 - STATE EMPLOYEES' 
ASSISTANCE PROGRAM 

.1001 PURPOSE 

The purpose of the Employee Assistance Pro- 
gram is to combine sound management princi- 
ples with a humanitarian approach to assist 
troubled employees in handing personal prob- 
lems that adversely affect job performance. Such 
problems as alcohol and drug abuse, emotional 
illness, fmancial, legal and other personal matters 
can lead to deterioration in both performance 
and behavior. Farlv identification and referral for 



help often results m restoring the employee's 
productivity, which benefits both the employee 



and management. 



Statutory Authority G.S. 126-4(10). 

.1002 POLICY 

(a) It is a policy of the State to maintain an 
Employee Assistance Program as a benefit to as^ 
si St employees with personal problems that may 
adversely affect their job performance. Since fa- 
mily problems also impact on job performance, 
the immediate family' may also be assisted when 
necessary. 

(b) Employees shall have the right to access 
this program in addressing personal problems. 
Employing Agencies shall ensure that employees 
are aware of the program and that employees 
shall have equal knowledge of and access to the 
program. 

Statutory Authority G.S. 126-4(10). 

.1003 ORGANIZATION OF PROGRAM 

The EAP shall operate as a component of the 
Office of State Personnel. To mcrease the ac- 
cessibility to the State E.A.P by all state emplo\- 
ees, field offices wiU be provided in strategic 
locations throughout the state. 

Statutory .Authority G.S. 126-4(10). 

.1004 SERVICES OFFERED TO AGENCIES, 
UNIVERSITIES AND EMPLOYEES 

The program has two primary functions: 

(1) .Management Consultation. Provision of 
expert consultation to management in the 
identification and referral of employees who 
face personal problems that may adversely 
affect job performance. 

(a) In assisting management, the Employees' 
Assistance Program is expected to become 
incorporated into existing management 
structure, and to guide management in 
developing plans for corrective action. 

(b) The goal of the EAP is to impact on the 
return of employees to fuU work capacity 
at levels of satisfactory job performance. 

(2) Assessment and Referral. A confidential 
and professional evaluation of the personal 
problem with the employee, mcluding an 
organized approach for both problem resol- 
ution and linkage with professional re- 
sources: The personal problems addressed 
by the EAP include, but are not Limited to 
alcohohsm. drug abuse, emotional disorders, 
family problems, marital discord, legal and 
fmancial difficulties. The Employees' As- 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1788 



PROPOSED RULES 



sistance Program will senx both employees 
and the immediate family in these problem 
areas. 

Statutory Authority G.S. l26-4( 10). 

.1005 ELIGIBILITY FOR SERVICES 

(a) /Ml fuU time, part-time permanent, and 
temporary' employees governed bv the State Per- 
sonnel Act, are ehpble for this sen,'ice. To the 
extent that resources are available, emplovees not 
under the State Personnel Act shall also be al- 
loued to utilize the program. 

(b) Formal and contractual relationships with 
prcdominantlv non SPA agencies to utilize the 
State HAP as a resource shall be at the discretion 
of those agencies, unless otherwise required bv 
law. To the extent that resources are available, 
the F.AP mav choose to enter into such relation- 



ships with non SPA agencies. 
Statutory Authority G.S. 126-4(10). 

.1006 SELF REFERRAL 

(a) A Self Referral is defined as any referral 
made in the absence of disciplinary action. The 
employee and or familv member may call the 
E.AP office directly, or mav request assistance 
from the supervisor or Program Administrator in 
scheduling an appomtment. 

(b) I-or the supervisor, this only results in the 
need to know of scheduled absences from \sork. 
If an appointment is scheduled during working 
hours, the employee must coordinate the absence 
with his her supervisor: 

( I ) Ifj in order to ensure complete confiden- 
tialit\". the employee chooses not to notify 
the super\'isor of the intention to use 
EAP. then \acation or sick leave should 
be used to co\"er the absence from work. 



(2) If the emplo\ee does notify the supervisor 
of an E.A.P appointment, the supervisor, 
after considering requirements for cover- 
age of the workplace, v.ill authorize the 
absence from the uork station. When the 
supervisor is aware of appointments for 
EAP assessment, the use of vacation or 
sick leave is not required. EoUow-up ap- 
pointments with resources recommended 
bv EAP do in\olve the use of vacation or 
sick leave as appropnate. The employee 
is responsible for coordinating absences 
from the v\orkstation in advance of the 
absence, 
(c) \\Tien personal problems surface at the 
work place, but disciplinary action is not mdi- 



EAP. This win still be regarded as a Self Refer- 
ral. 



Statutory Authority G.S. 126-4(10). 

.1007 SLPERMSORY REFERRAL 

fa) A Supervisory Referral shaU be defined as 
an EAP referral that is made within the context 
of disciplmaxN' action. In this case, the employee 
has brought a personal problem to the work 
place in the form of dctenorating job perform- 
ance and work habits and disciphnarv action is 
indicated. 

(b) It is essential that the EAP be notified in 
advance of a Supervisory Referral. In their offi- 
cial professional capacity, the EAP counselors 
will need background information about the em- 
ployee and details of the job performance and 
work habits that are of concern. Depending on 
the urgency or difficulty of the situation the EAP 
counselor v^'ill coordinate with the supervisor any 
reports or ongomg commumcation that mav be 
needed. 

(c) Tbie action on the part of the employee to 
seek help for personal problems shall be \iewed 
as a responsible action, and shall be supported 
by management. 

(d) Management has an alTirmative dutv to deal 
appropriately with employee performance or 
conduct deficiencies and as appropnate. to 
promptly utilize the disciplinary process. EAP 
shall not be used as a substitute for such prudent 
management decisions. Consideration of a re- 
ferral to EAP shall be made when documentation 
warrants such action. 



(e) E .A P and the resources of EAP shall not 
be viewed as a part of the disciplinary process. 
As such thev are not to be used in a punitive 
manner. Rather, the E.-\P is to serve in ad- 
dressing the personal problem(s) that mav be the 
primary source of the performance or behavior 
issue. In this manner EAP is a complement to 
the disciphnarv process. 

(ji The EAP shall retain the ri.ght to refuse a 
supervisory management referral when: 

1 he referral is being made m the absence 



of prudent management decisions. 
The EAP \s being utilized m a punitive 
manner. 



ill 

121 

(3) There is action by management or the su- 
pervisor to either ignore or to knowingly 
cover up situations where an employee's 
personal problem is having a negative im- 
pact on the \sork place, 
(g) Ehsciplinarv action may be initiated or 
continued regardless of the employee's active m- 
volvement in EAP. I lowever, supervisors are 



cated, supervisors may encourage the use of encouraged to provide tor a reasonable length of 



17S9 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



time after referral to EAP before taking addi- 
tional disciplinary action. 

Statutory Authority G.S. 126-4(10). 

.1008 IVIANAGEMENT DIRECTED REFERRAL 

(a) A Management Directed referral shall be 
defmed as an EAP referral which is intended to 
address an extraordinarv situation that is consid- 



ance or conduct) 
management. 



identified by 



ered by management to be potentially volatile. 
It may be needed when an employee has dem- 
onstrated: 

( 1) that they cannot conduct themselves ac- 
cording to the rules of the workplace; 

(2) a potential or present health/safety danger 
to self and/or others; 

(3) that they may not be fit to carry out the 
required duties and responsibilities; 

(4) a problem that, rather than interfering with 
the employee's performance, actually pre- 
vents the employee from performing the 
duties of the job in question. 

(b) The goals of a Management Directed re- 
ferral are to protect the worksetting from dis- 
ruption and/or to develop a plan of action to 
resolve the extraordinary situation. To accom- 
plish such goals, management may either insti- 



tute an Investigatory Suspension (as provided in 
25 NCAC IJ .0610 of these Rules) and make a 
referral to the EAP, or may obtain a Medical 
Evaluation of the employee (as provided in 25 
NCAC IC .0207 of these Rules) and make a re- 
ferral to the EAP in order to obtain the evalu- 
ation. 

(c) In a Management Directed referral, man- 
agement may give the employee a choice between 
accepting E'AP services prior to returning to 
work, or relying on the disciplinary' and grievance 
process to resolve the matter. In this situation 
management may temporarily defer a decision 
on disciphnary action, or implement a necessary 
decision as to the appropriate disciplinary action. 
In order for management to be able to require the 
employee to make this choice, disciplinary action 
must be an option that is being actively consid- 
ered. 

(d) In the case of a Management Directed re- 
ferral, the employee's decision to accept the op- 
tion of EAP can result in an added option to 
resolve the situation. The employee who agrees 
to accept EAP services must obtain clearance by 
the EAP prior to return to work. In agreeing to 
accept EAP services the employee must: 

(1) Keep EAP appointments; 

(2) Complete the recommended course of 
professional care; 

(3) Demonstrate an improvement in the spe- 
cific problem areas (either job perform- 



(e) Eailure to carry out all of the responsibilities 
in Paragraphs (a) through (d) of this Rule, in 
conjunction with continued poor performance, 
may ser%'e as the basis for a decision to imple- 
ment disciphnary action based on the original 
behavior or conduct. 

(f[ The employee always has the right to accept 
or refuse the EAP service. However, in main- 
taining that right, refusal by the employee to 
participate in the EAP shall not be grounds for 
disciplinary action. A decision not to participate 
in EAP shall be viewed as a decision to rely on 
the disciphnary and grievance process to resolve 
the situation. The employee shaU be advised that 
this can lead to disciplinary action. Any disci- 
phnary action subsequently taken, shall be unre- 
lated to the employee's decision regarding 
participation in EAP and shall be based solely 
on the employee's performance and/or conduct 
related to the job. 



(g) In providing EAP as an option to employ- 
ees under a management directed referral, man- 
agement has the discretion to temporarily stay 
pending disciphnary action, and or to impose a 
lesser level of discipline. This reconsideration is 
contingent on the employee's demonstration of 
action through EAP in requesting assistance and 
in properly following through with the recomm- 
endations of EAP staff. 

(h) Questions about the agency's poUcy and 
procedure regarding Management Directed refer- 
rals should be directed to the agency's EAP Pro- 
gram Administrator, the agency's Personnel 
Office or with the State EAP Office. 



Statutory Authority G.S. 126-4(10). 

.1009 CONFIDENTIALITY 

(a) Persormel Records. All personnel infor- 
mation concerning employees shall be confiden- 
tial. The EAP will comply with the law 
concerning such records while involved in com- 
munications regarding a referral. 

(b) Personal/ Clinical Records. The EAP will 
follow clinical guidelines with regard to the con- 
fidentiality of records. Such guidelines prohibit 
EAP from sharing identifying information about 
an employee without the prior written consent 
of the employee. Ihe EAP will obtain such 
written consent in supervisory referrals in order 
to inform management that an employee is fol- 
lowing through on recommendations. Ex- 
ceptions occur as follows: 

(1) When the employee may be harmful to 
self or others. In these cases the pro- 



tection and safety of the work place will 



6:23 NORTH CAROLINA REGISTER Match 2, 1992 



1790 



PROPOSED RULES 



be an overriding concern. Laws on con- 
fidcntialitv permit the EAP to notify the 
uork place that the employee may present 
a threat, but such laws still require re- 
straint m the information that is released. 



(4) Make recommendations and changes that 

are needed to provide for an effective 

utilization of the service. 

(b) Departments and Agencies wiU designate a 

Program Administrator whos£ pnmar>- EAP 



In these cases, information will be limited function will be as foUows: 



and wlU be pro\ided only on a "need to 
know" basis. 

(2) Where the employee communicates 
threats. If, in the presence of the EAP 
Professional, a person communicates 
plans to injure another individual, the 
EAP has a "duty to warn'' the person 
who is named in such threats. 

(3) Where child abuse is occurring. In such 
a case where the proper authorities ha\'e 
not already become in\t)l\ed, the \iW 
has a "duty to notify" the proper author- 
ities in regards to the vs'elfare of the child. 

(c) Confidentiality must exist within the EAP. 
Managers and supervisors are to he sensitive to 
the issue of confidentiality as thev carry out their 
responsibilities regardmg the EAP. 

Statutory Authority G.S. l26-4( 10). 

.1010 RESPONSIBILITIES OF THE EMPLOYEE 
ASSISTANCE PROGRAM 

Upon request bv the agencv/university, the 
EAP shall provide the following: 

( 1) guidance to .Management m the develop- 
ment of EAP Policy; 

(2) training of supervisors^ 

(3) orientation of employees; 

(4) consultation to Supervisors/ Managers; 

(5) assessment of Employees/ Eamilv members; 

(6) assistance in developing a system for peri- 
odically reportmg on the impact of the EAP 
effort within the organization. 



Statutory' Authority G.S. 126-4(10). 



.1011 

(a) 
EAP 
shall: 

ill 



(21 



RESPONSIBILITIES OF AGENCIES/ 
LNI\ERSITIES 

As part of the development and support of 
within the organization the state agencies 

Develop an agency level pohcv and pro- 
cedures that demonstrates both compli- 
ance with State Personnel Rules and 
addresses any necessary modifications of 
the EAP approach in order to meet 
agency university level needs. 

Provide for training of supervisors about 
the E-AP effort and their expected role. 

Provide for orientation and ongoing 
awareness among employees concerning 
the availability of the EAP services. 



ill 

ill 

ill 

(41 
(51 

16i 



Ser\'ing as the Department Agency liaison 
to the I^AP. meeting periodically with the 
EAP to discuss concerns, and plan efforts 
of the E.\P within the organization. 

Scheduling and coordinating supervisory 
traming sessions, employee orientations, 
and where necessarN' follow-up training 
regarding the EAP. 

Discussing the benefits of an EAP with 
both supen'isor and employee, pointing 
out a\ailable options to the employee, 
and encouraging referrals to the EAP. 

Developing and maintaining a positive 
working relationship with the EAP Office- 
Creating and maintaining a level of 
awareness of the P2AP among supervisors 
and employees. Taking steps to create 
and maintain the visibility of the program. 

Collecting information about the impact 
of the program and, as necessan*, com- 
municating with management of the 
Department Agency concerning the pro- 
gram. 

Statutory Authority G.S. I26-4( 10). 

SUBCHAPTER IL - AFFIRMATIVE ACTION 

SECTION .0200 - ACQUIRED IMMUNE 

DEFICIENCY SV^SDROME (AIDS) IN THE 

WORKPLACE 

.0203 ADV.ANCED EDUCATION AND 
TRAINING COMPONENT 

(a) Agencies will identify training modules and 
resources as approved by the State Public Health 
Director which will address the special education 
and training needs of employees who perform 
work related tasks that have a potential for ex- 
posure to the employee to the HIV virus. Each 
agency shall adopt these resources to its own 
work force needs. 

(b) Each agency with employees requiring 
!: . pocialiiio 4 advanced training will provide such 
trainmg ift aooordanoo v4tfe ti» Cent e r fof E)«- 
ea^ Control (CDC) roquiromonto. at the time 
of initial assignment and at least annually there- 
after. Appropriate documentation of training 
shall be maintained bv the agcnc\ for at^ least the 
duration of employment plus 30 vears. 

Statutory Authority G.S. 126-4. 



1791 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



PROPOSED RULES 



TITLE 26 - OFFICE OF ADMINISTRATIVE 
HEARESGS 



lyotice is hereby given in accordance with G.S. 
I50B-2/.2 that the Office of Administrative 
Hearings intends to amend rule(s) cited as 26 
NCAC 2A .0211; 2B .0103 and 26 NCAC 3 .0001. 

1 he proposed effective date of this action is July 
1. 1992. 

1 he public hearing will be conducted at 12:00 
Noon on May II, 1992 at the Hearing Room #1, 
Lee House, 422 North Blount Street, Raleigh, NC. 

ixeason for Proposed Action: 

Rule 26 NCAC 2A .0211 - To allow sufficient time 
for an agency to proof the final computer copy of 
a rule. 

Rule 26 NCAC 2B .0103 - To provide for the filing 
of submission by facsimile transmission for publi- 
cation in the North Carolina Register. 

Rule 26 NCAC 3 .0001 - To provide for the filing 
of contested case documents and other pleadings 
by facsimile transmission. 

K^omment Procedures: Comments may be sub- 
mitted in writing or in person at the public hearing 
or in writing prior to May II, 1992 to Elaine R. 
Steinbeck, APA Coordinator, P.O. Drawer 27447, 
Raleigh, NC 2761 1-7447. 

CHAPTER 2 - RULES DIVISION 

SUBCHAPTER 2A - NCAC 

SECTION .0200 - GENERAL FILING 
REQUIREMENTS 

.021 1 AGENCY FINAL COPY 

Each agonoy ohall h% rocponsibl e fof proofing 
tb» fiftat computor copy ef ite rules. Within 30 
days of the date appearing on the final computer 
copy, an agency shall notify the Office of Ad- 
ministrative Hearings of any typographical errors 
made by OAH in entering the rule into the 
NCAC. Any typographical errors found by the 
agency after the 30 days shall ^ corrected by an 
amendment pursuant to G.S. 150B-21.5. 

Statutory Authority G.S. 150B-2I.5. 

SUBCHAPTER 2B - NORTH CAROLINA 
REGISTER 



SECTION .0100 - PUBLICATION 

.0103 SUBMISSION AND PUBLICATION 
SCHEDULE 

(a) In order to be acceptable for publication, 
submissions for proposed administrative rules 
and executive orders shall be submitted to the 
Office of Administrative Hearings by the closing 
date for the issue as determined under Paragraph 
(fe) (c) of this Rule. 

(b) An agency may file submissions by facsim- 
ile (fax) transmission by 5:30 p.m. on the closing 
date for the issue as determined under Paragraph 
(c) of this Rule. In order to be acceptable for 
publication, the original submission must be re- 
ceived by the Office of Administrative Hearings 
within five business days following the faxed 
transmission. 



(c) (fe> The North Carolina Register will be 
published on the first and fifteenth of each month 
if the first or fifteenth of the month is not a Sat- 
urday, Sunday or State holiday for employees 
mandated by the State Personnel Commission. 
If the first or fifteenth of any month is a Satur- 
day, Sunday or a holiday for State employees, the 
North Carolina Register issue for that day wiU 
be pubUshed on the day of that month closest to 
(either before or after) the first or fifteenth re- 
spectively that is not a Saturday, Sunday or hol- 
iday for State employees. The last day for fding 
for any issue of the North Carolina Register is 
15 days before the issue date excluding Saturdays, 
Sundays and hohdays for State employees, except 
that the last date for electronic fding is ten days 
before the issue date excluding Saturdays, Sun- 
days and hoUdays for State employees. In com- 
puting the time prescribed or allowed by this 
Rule, the day of pubhcation of the North Caro- 
lina Register is not to be included. The last day 
of the period so computed is to be included, un- 
less it is a Saturday, Sunday or State holiday, in 
which event the period runs untU the preceding 
day which is not a Saturday, Sunday or State 
holiday. A half holiday shall be considered as 
other days and not as a hohday. A table of pu- 
blication deadlines and schedules to include the 
issue date, last day for filing, last day for elec- 
tronic filing, earhest date for pubhc hearing, ear- 
liest date for adoption by the agency, and earhest 
effective date for at least the next 12 issues will 
be pubUshed in each issue of the North Carolina 
Register. 

Statutory Authority G.S. 1508-21.17. 

CHAPTER 3 - HEARINGS DIVISION 

.0001 GENERAL 



6:2i NORTH CAROLINA REGISTER March 2, 1992 



1792 



PROPOSED RULES 



Governed by the principles of fairness, uni- 
formity, and punctuality, the following general 
rules apply; 

( 1 ) The Rules of Civil Procedure as contained 
in G.S. lA-1, the General Rules of Practice 
for the Superior and District Courts as au- 
thorized by G.S. 7A-34 and found in the 
Rules Volume of the North Carolina Gen- 
eral Statutes and Canons 1, 2 and 3 of the 
Code of Judicial Conduct adopted in ac- 
cordance with G.S. 7A-10.1 shall apply in 
contested cases in the Office of Administra- 
tive Hearings (OAH) unless another specific 
statute or rule of the Office of Administra- 
tive Hearings provides otherwise. 

(2) The Office of Administrative Hearings may 
supply, at the cost of reproduction, forms 
for use in contested cases. These forms will 
conform to the format of the Administrative 
Office of the Courts' Judicial Department 
Forms Manual. 

(3) Every pleading and other document filed 
with the Office of Administrative Hearings 
shall be signed by the attorney who prepared 
the document, if it was prepared by an at- 



torney, and shall contain his name, address, 
telephone number, and North Carolina 
State Bar number. An original and one 
copy of each document shall be filed. 

(4) The Office of Administrative Hearings will 
permit the filing of contested case docu- 
ments and other pleadings bv facsimile (fax) 
transmission during regular business hours. 
The faxed documents u-JU be deemed a 'Til- 
ing" within the meaning of 26 NCAC 3 
.00n2(a)(2) provided the original document 
is recei\ed by OAH within five business days 
following the faxed transmission. 

(5) f44 Except as othenAise provided by statutes 
or by rules promulgated under G.S. 
150B-38(h), the rules contained in this 
Chapter shall govem the conduct of con- 
tested case hearings under G.S. 150B-40 
when an Administrative Law Judge has been 
assigned to preside in the contested case. 



Statutory Authoritv 
J 508-40 (c). 



G.S. 7A-750: ISOB-ll; 



1793 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



FINAL RULES 



Adopted rules filed by the Department of Revenue are published in this section. This department 
is not subject to the provisions of G.S. I SOB, Article 2 requiring publication in the S.C. Register of 
proposed rules. 

LLffective October I. 1991, the Departments of Correction and Revenue are subject to G.S. I SOB, 
Article 2A. 



U, 



pan request from the adopting agency, the text of rules will be published in this section. 



TITLE 17 
DEPARTMENT OF REVENUE 

CHAPTER 6 - INDIVIDUAL INCOME TAX DIVISION 

SUBCHAPTER 6B - INDIVIDUAL INCOME TAX 

SECTION .0100 - FILING INDIMDUAL INCOME TAX RETURNS 

.0107 EXTENSIONS 

(a) If an income tax return cannot be filed by the due date, an Lndi\idual may apply for an automatic 
four-month extension of time to file the return. To receive the extension, an individual must file Form 
D-410, Application for Automatic Extension of Time to File State Income Tax Return, and pay the 
fuU amount of tax he expects to owe by the original due date of the return. In lieu of filing Form 
D-410, an automatic four-month extension of time to fde a North Carolina income tax return will be 
granted if an individual files Federal Form 4868, Apphcation for Automatic Extension of Time, with 
the Internal Revenue Service, provided he submits a copy of the completed Form 4868 and full pay- 
ment of the tax by the original due date of the return. When filing a copy of the Form 4868 in heu 
of Form D-410, an individual must clearly state that the form is for North Carolina; mark through the 
federal amounts shown on the form; enter the applicable amounts for North Carolina; and pay the tax 
due. 

(b) A ten percent late payment penalty w ill apply on the remaining balance due if the tax paid by the 
due date of the return is less than 90 percent of the total amount of tax due. If the 90 percent rule is 
met, any remaining balance due, including interest, must be paid with the income tax return before the 
expiration of the extension period to avoid the late payment penalty. If the application for extension 
is determined to be invalid, both the late filing and the late payment penalties wlU apply. An applica- 
tion for extension is considered invalid if the amount entered on the extension form as the tax expected 
to be due is not properly estimated. In determining whether the amount reflected as tax due on the 
apphcation is properly estimated, all facts and circumstances, including the amount of tax due in prior 
years, whether substantial underpayments have been made in other years, and whether an individual 
made a bona fide and reasonable attempt to locate, gather, and consult information, must be consid- 
ered. 

(c) An individual can apply for an additional extension beyond the automatic four-month extension 
by fding Form D-410A, Apphcation for Additional Extension of Time to File State Income Tax Re- 
tum, in dupUcate. Extensions of time beyond the automatic four-month extension of time to file are 
granted onl)' for very good reasons. In heu of filing Form D-41QA, an additional extension of time 
will be granted if an individual files Federal Form 2688 with the Internal Revenue Service and includes 
a copy of the approved Form 2688 with his North Carolina retum. 

(d) A retum may be filed at any time within the extension period but it must be filed before the end 
of the extension period to avoid the late fding penalty. 

(e) This Rule apphes to taxable years beginning on or after January 1, 1990. 

Historv \ote: Statutory Authority G.S. lOS-lSS; I0S-IS7; IOS-236(4): I0S-I60.6: 105-160.7; 
IOS-262; 105-263; ' 
Eff February 1, 1976: 
Amended Eff February 3, 1992; October I, 1991; February I, 1991; June 1, 1990. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 1794 



FINAL RULES 



SECTION .3500 - PARTNERSHIPS 

.3513 NONRESIDENT PARTNERS 

(a) When an established business in North Carolina is ov,ned by a partnership having one or more 
nonresident members, the managing partner is responsible for reporting the distributive share of the 
income of each nonresident partner and is required to compute and pay the tax due for each nonresi- 
dent partner. The tax rate is the same as the tax rate for single indi\'iduals. The manager is authorized 
by statute to withhold the tax due from each nonresident partner's share of the partnership net income. 
Payment of the tax on behalf of nonresident corporate partners does not relieve the corporation from 
filing corporate income tax and franchise tax returns: however, credit for the tax paid by the managing 
partner may be claimed on the corporate retums. Although a partnership may treat guaranteed pay- 
ments to a partner for services or for use of capital as if they were paid to a person who is not a partner, 
such treatment is only for purposes of determining its gross income and deductible business expenses. 
For other tax purposes, such guaranteed payments are treated as a partner's distributive share of ordi- 
nary income. In determining the allowable North Carolina deductions from federal ta.xable income, 
do not include a partner's salary, interest on a partner's capital account, partner relocation and mort- 
gage interest differential payments, or payments to a retired partner regardless of whether they were 
determined without regard to current profits. These types of payments are treated as part of the part- 
ner's share of the partnership income. A nonresident partner is not required to file a North Carolina 
individual income tax return when the only incom_e from North Carolina sources is the nonresident's 
share of income from a partnership doing business in North Carolina and the manager of the partner- 
ship has reported the income of the nonresident partners and paid the tax due. A nonresident partner 
may file an individual income tax return and claim credit for the tax paid by the manager of the part- 
nership if the payment is properly identified on the individual income tax return. 

(b) In determining the tax due for nonresident partners, a partnership must apportion to North Ca- 
rolina the income derived from its business activities carried on within and outside North CaroHna that 
are not segregated from its other business activities. A partnership's business activities are not segre- 
gated if it does not employ a method of accounting that clearly reflects the income or loss of its separate 
activities. .\ partnership must allocate to North Carolina the income derived from its business activities 
in North CaroHna that are segregated from its other business activities. Income derived from a part- 
nership s business actnities outside of North Carolina that are segregated from its other business ac- 
tivities are not includable in determining the tax due for nonresident partners. This allocation of 
income does not affect the reporting of partnership income by the resident partner because he is taxed 
on his share of the net income of the partnership whether or not any portion of it is attributable to 
another state or countr\\ 

History Sole: Statutory Authority G.S. J05-/34.5(dj; 105-154: 105-262; 
Eff. February 1, 1976: 
Amended Eff. February 3, 1992: October I, 1991: April I, 1991: February 1, 1991. 

.3529 INTEREST INCOME PASSED THROUGH TO PARTNERS 

Although the interest income passed through to a partner in a partnership retains its same character 
as when received by the partnership, the expenses incurred in earning such income are deductible by 
the partnership and net interest income after expenses is reflected in the partner's pro rata share of the 
income of the partnership. For interest income subject to federal income tax, the partner's federal gross 
income reflects the net interest income after expenses incurred in earning the income. Interest income 
not subject to federal income tax is not reflected in the partner's federal taxable income. In these cases, 
a partner must adjust his federal taxable income as required by G.S. 105- 134.6(b) or G.S. 105- 134.6(c), 
for the net amount of interest attributable to the partnership. 

Historv Sote: Statuton' Authority G.S. 105-I34.6(b): 105-134.6(0; 105-154: 105-262; 
Eff February 3, 1992. 

SLBCHAPTER 6C - WITHHOLDING 

SECTION .0200 - REPORTING AND PAVING T.\X WITHHELD 

.0202 REPORTS AND PAYMENTS 



1795 6:23 NORTH CAROLINA REGISTER March 2, 1992 



FINAL RULES 



Withheld taxes are paid quarterly, monthly, or on an accelerated basis. Employers who withhold an 
average of less than five hundred dollars ($500.00) from wages each month must file a quarterly report 
and pay the withheld taxes on a quarterly basis. The quarterly report and payment are due by the last 
day of the month following the end of the calendar quarter. 

Employers who withhold an average of at least five hundred dollars ($500.00) but less than two 
thousand dollars ($2,000.00) from wages each month must file a monthly report and pay the withheld 
taxes on a monthly basis. All monthly reports and payments are due by the fifteenth day of the month 
following the month in which the tax was withheld; except the report and payment for the month of 
December are due by the thirty-first day of January. 

Employers who withhold an average of at least two thousand dollars ($2,000.00) from wages each 
month must file reports and pay the withheld taxes at the same times they are required to file reports 
and pay the tax withheld on the same wages for federal income tax purposes. The due dates for re- 
porting and paying North Carolina income tax withheld is determined by the due dates for depositing 
federal employment taxes (income tax withheld and FICA). Each time an employer is required to 
deposit federal employment taxes, he must remit the North Carolina income tax withheld on those 
same wages, regardless of the amount of State tax withheld. 

EXCEPTION: For federal tax purposes, if an employer withholds one hundred thousand dollars 
($100,000.00) or more, the depxDsit is required on the next banking day. North Carolina law does not 
adopt this provision of federal law, and the State income tax withholding on the same wages is due on 
or before the third banking day after the end of the eighth-monthly period in which the payroll is made. 
The employer must mail or deliver payment of the North Carolina income tax withheld within three 
banking days after the end of the same eighth-monthly i>eriod that required the federal deposit. 

The North Carolina Quarterly Income Tax Withholding Return, Form NC-5Q, reconciles the tax 
paid for the quarter with the tax withheld for the quarter. The due dates for Form NC-5Q are the same 
as for the federal quarterly return (Federal Form 941); on or before the last day of the month following 
the close of the quarter. An employer has 10 additional days to file the return if all required payments 
were made during the quarter and no additional tax is due. 

History Note: Statutory Authority G.S. 105-163.6; 105-163.18; 105-262; 
Eff. February I. 1976; 

Amended Eff. February 3, 1992; February I, 1991; February I, 1988; 
February 21. 1979. 

.0203 ANNUAL REPORTS 

(a) At the end of each calendar year employers are required to furnish wage and tax statements. Form 
NC-2, to employees. Two copies must be furnished to the employee and one copy must be furnished 
to the Department. The Internal Revenue Service supplies a six part Form W-2 which will produce 
the required federal and North CaroUna statements in one packet. 

(b) The copies of the wage and tax statements for the Department of Revenue must be filed with the 
Annual Reconciliation of North Carolina Income Tax Withheld. 

(c) Reports of payments of income, interest, rents, premiums, dividends, armuities, remunerations, 
emoluments, fees, gains, profits, taxable meal reimbursements, and other determinable armual or peri- 
odic gains during a calendar year must be made on Information at the Source Reports, Form NC-1099, 
if the payments have not otherwise been reported. Effective for payments made on or after January 
1, 1992, the Form NC-1099 reports are not required to be filed unless the payments have not been re- 
ported to the Internal Revenue Service under the provisions of Section 604 1 of the Code or have not 
otherwise been reported to the Department. Notwithstanding the above, any person required to file 
Form NC-1099NRS under the provisions of Rule 17 NCAC 6B .3804(i) shall do so regardless of any 
requirement to report the sale to the Internal Revenue Service. 

History Note: Statutory Authority G.S. 105-154; 105-163.7; 105-163.18; 105-262; 
Eff February I. 1976; 
Amended Eff February 3, 1992; October I, 1991; February 1, 1991; June 1, 1990. 



6:23 NORTH CAROLINA REGISTER March 2, 1992 1796 



LIST OF RULES CODIFIED 



1 he List of Rules Codified is a listing of rules that were filed with OAH in the month indicated. 


Key: 




Citation 


= Title. Chapter, Subchapter and Rule(s) 


AD 


= Adopt 


AM 


= Amend 


RP 


= Repeal 


With Chgs 


= Final text differs from proposed text 


Eff. Date 


= Date rule becomes effective 


Temp. Expires 


= Rule was filed as a temporary rule and expires on this date 



NORTH CAROLINA ADMIMSTRATITV E CODE 
JANUARY 1991 



TITLE DEPARTMENT 



TITLE DEPARTMENT 



1 


Administration 


4 


Economic and Community 




Development 


7 


Cultural Resources 


10 


Human Resources 


11 


Insurance 


12 


Justice 


13 


Labor 


15A 


Environment, Health, 




and Natural Resources 



16 
17 
20 
21 



24 



25 



Public Education 

Revenue 

State Treasurer 

Occupational Licensing Boards 

8 - CPA Examiners 
42 - Optometry 
46 - Pharmacy 
Independent Agencies 

3 - Safety and Health 

Review Board 
State Personnel 



Citation 


AD 


AM 


RP 


With 
Chgs 


Eff. 
Date 


Temp. 
Expires 


1 NCAC 35 .0103 








• 


02 03 92 




.0202 








• 


0203 92 




.0301 - .0302 








• 


02 03 92 




.0303 










02 03 92 




.0403 










02 03 92 




4 NCAC 16A .0103 -.0104 










02 15 92 




.0105 








• 


02 15 92 




16C .0101 










02 15 92 




.0103 - .0105 










02 15 92 




.0201 








• 


02 15 92 




.0202 










02 1592 




.0203 








• 


02 15 92 





7797 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


Eff. 
Date 


Temp. 
Expires 


4 NCAC 16C .0303 






• 




02 15,92 




.0305 




• 




• 


02 15 92 




.0401 




• 






02 15 92 




.0402 - .0403 




• 




• 


02 15 92 




.0404 - .0405 




• 






02 15 92 




.0501 - .0503 




• 






02 15 92 




16D .0101 




• 




• 


02 15 92 




.0301 




• 




• 


02 15,92 




.0402 - .0403 




• 






02 15 92 




.0404 






• 




02/1592 




.0407 




• 






02 15 92 




.0506 






• 




02 15 92 




.0902 




• 






02 15 92 




16E .0103 










02 15 92 




.0104 










02 15 92 




.0105 










02 15 92 




.0201 - .0204 










02 15 92 




.0301 










02 15 92 




.0302 










02 15 92 




.0303 










02 1592 




.0401 - .0405 










02 15 92 




.0501 • .0502 










02 15 92 




.0601 - .0602 










02,15 92 




.0701 - .0702 










02 15 92 




16G .0103 










02 15 92 




.0104 










02 15 92 




.0105 ■ .0106 










02,15 92 




.0311 ■ .0312 










02,15 92 




.0313 










02,15 92 




.0314 - .0315 










02 1592 




.0316 










02 15 92 




.0404 • .0405 










02 15 92 




.0509 










02,1592 




.0510 










02 15 92 




.0511 










02 1 5 92 




.0512 - .0513 










02 15 92 




.0514 - .0516 










02 15 92 





6:2i NORTH CAROLINA REGISTER March 2. 1992 



1798 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


EfT. 
Date 


Temp. 
Expires 


4 \CAC 16G .0606 - .0608 










02 15 92 




.0712 










02 15 92 




.O:-!.^ - .OT'U 










02 15 92 




,0715 - .0717 










02 15 92 




.0^18 










02 15 92 




.o:'i9 










02 15 92 




.0720 










02 15 92 




.0-21 










02 15 92 




.0722 










02 15 92 




.0822 - .0823 










02 15 92 




.0824 










02 15 92 




.0825 










02 15 92 




.0826 










02 15 92 




.0827 










02 15 92 




.0828 










02 15 92 




.0829 










02 15 92 




.0830 - .0833 










02 15 92 




.0908 










02 15 92 




.0909 - .0912 










02 15 92 




.1203 - .1204 










02 15 92 




16H .0001 




• 






02 15 92 




.0002 






• 




02 15 92 




.0003 










02 15 92 




.0005 










02 15 92 




.0006 - .0007 










02 15 92 




.0008 










02 15 92 




161 .0702 ■ .0703 










02 15 92 




.0-04 










02 15 92 




.0801 










02 15 92 




.0803 










02 15 92 




.0901 










02 15 92 




.0902 








• 


02 15 92 




.1001 - .1002 










02 15 92 




.1003 








• 


02 15 92 




.1101 - .1102 










02 15 92 




.1104 










02 15 92 




.1105 








• 


02 15 92 





7799 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


Eff. 
Date 


Temp. 
Expires 


4 NCAC 161 .1106 










02 15 92 




.1201 










02 15 92 




.1202 








• 


02 15 92 




.1203 










02 15 92 




.1301 










02 15 92 




16J .0001 ■ .0002 










02 15 92 




.0003 








• 


02 1592 




16K .0001 • .0002 








• 


02 15 92 




.0003 - .0008 










02 15 92 




.0009 - .0010 








• 


02 15 92 




16K .0011 - .0013 








• 


02 1592 




.0014 - .0017 










02 1592 




16L .0002 - .0003 










02 15 92 




.0004 








• 


02 15 92 




7 NCAC 4P .0016 


• 








02 03 92 




10 \CAC 3J .2904 




• 




• 


03 01 92 




3\V .0101 


• 






• 


03 01 92 




.0201 


• 






• 


03 01 92 




24A .0606 








• 


03 01 92 




29C .0003 










03 01 92 




41 \1 .0001 










07 01 92 




.0002 








• 


07 01 92 




.0003 • .0004 










07 01 92 




.0005 








• 


07 01 92 




.0006 - .0007 


• 








07 01 92 




41 P .0006 








• 


03 01 92 




.0007 










03 01 92 




.0008 








• 


03 01 92 




42E .0903 








• 


03 01 92 




.1102 








• 


03 01 92 




.1105 - .1106 








• 


03 01 92 




.1107 










03 01 92 




.1108 








• 


03 01 92 




.1406 










03 01 92 




42S .0401 










0301 92 




42Z .0802 










03 01 92 




.0803 








• 


03 01 92 





6:23 NORTH CAROLINA REGISTER March 2, 1992 



1800 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


EfT. 
Date 


Temp. 
Expires 


10 NCAC 42Z .0902 - .0909 


• 








03 01 92 




11 NCAC 6A .0232 




• 






03 01 92 




.0234 




• 




• 


03 01 92 




.0238 


• 






• 


03 01 92 




.0239 


• 








03 01 92 




.0240 


• 






• 


03 01 92 




.0401 




• 






03 01 92 




.0404 - .0405 




• 






03 01 92 




.0415 






• 




03 01 92 




.0416 


• 






• 


03 01 92 




.0508 


• 








03 01 92 




.0802 










03 01 92 




.0804 










03 01 92 




8 .0801 - .0802 










03 03 92 


08 21 92 


.0805 










03 03 92 


08 21 92 


.0815 










03 03 92 


08 21 92 


.0819 - .0836 


• 








03 03 92 


08 21 92 


12 .0507 






• 




03 01 92 




.0815 - .0816 




• 






03 01 92 




.0818 - .0819 




• 






03 01 92 




.0820 




• 




• 


03 01 92 




.0821 




• 






03 01 92 




.0822 




• 




• 


03 01 92 




.0823 






• 




03 01 92 




.0824 




• 






03 01 92 




.0825 - .0827 




• 




• 


03 01,92 




.0828 - .0830 




• 






03 01 92 




.0831 - .0833 






• 




03 01 92 




.0834 - .0835 




• 




• 


03 01 92 




.0836 










03 01,92 




.0837 








• 


03 01 92 




.0838 










03 01 92 




.1201 - .1207 








• 


03 01 92 




.1208 










03 01 92 




.1209 - .1211 








• 


03 01 92 




16 .0201 










03 01 92 




.0202 








• 


03 01 92 





1801 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


Eff. 
Date 


Temp. 
Expires 


11 NCAC 16 .0203 


• 








03 01 92 




.0204 


• 






• 


03 01 92 




12 NCAC 9A .0204 










03 01 92 




9B .0201 








• 


03 01 92 




.0203 








• 


03 01 92 




.0225 








• 


03 01 92 




.0401 - .0403 










03 01 92 




9C .0303 










03 01 92 




.0308 










03 01 92 




9E .0106 








• 


03 01 92 




.0107 










03 01 92 




13 NCAC IC .0102 










02 01 92 




15A NCAC 2D .1104 










03 01 92 




2H .0610 








• 


03 01 92 




4A .0005 










01 1492 


07 11 92 


4B .0018 










01 14 92 


07 11 92 


4C .0007 




* 






01 1492 


07 11 92 


7H .0306 








• 


03 01 92 




7\1 .0201 - .0202 




* 




• 


03 01 92 




.0303 




* 






03 01 92 




.0901 










03 01 92 




lOB .0104 






• 




03 01 92 




.0115 










03 01 92 




lOF .0323 










03 01 92 




.0339 










03 01 92 




.0342 










03 01 92 




12C .0306 










03 01 92 




18C .2101 - .2105 


• 








01 22 92 


07 19 92 


19A .0102 










02 03 92 




.0205 


• 








03 01 92 




.0302 










02 03 92 




19C .0206 


• 








01 08 92 


07 05 92 


19D .0105 






• 




02 03 92 




16 NCAC 6D .0102 




• 






03,01 92 




6E .0301 - .0303 


• 






• 


03 01 92 




17 NCAC IC .0402 




• 






02 03 92 




6B .0107 




• 






02 03 92 





6:23 NORTH CAROLINA REGISTER March 2, 1992 



1802 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


Eff. 
Date 


Temp. 
Expires 


17 NCAC 6B .3513 




• 






02 03 92 




.3529 


• 








02 03 92 




6C .0202 - .0203 




• 






02 03 92 




20 \C.\C 2A .0504 


• 








03 01 92 




2B .0404 


• 








03 01 92 




2C .0404 


• 








03 01 92 




21 NCAC 8G .0306 




• 




• 


03 01 92 




42J .0001 




• 






03 01 92 




46 .2502 




• 






03 01 92 




24 NCAC 3 .0101 - .0102 










02 03 92 




.0103 










02 03 92 




.0104 










02 03 92 




.0105 - .0106 










02 03 92 




.0107 - .0108 










02 03 92 




.0109 - .0110 










02 03 92 




.0111 










02 03 92 




.0201 - .0202 










02 03 92 




.0203 










02 03 92 




.0301 • .0302 










02 03 92 




.0303 - .0305 










02 03 92 




.0306 - .0307 










02 03 92 




.0308 - .0309 










02 03 92 




.0401 










02 03 92 




.0402 - .0403 


• 








02 03 92 




,0404 - .0405 










02 03 92 




.0406 










02 03 92 




.0501 - .0502 










02 03 92 




.0503 










02 03 92 




.0504 










02 03 92 




.0505 - .0507 










02 03 92 




.0508 










02 03 92 




.0509 










02 03 92 




.0510 - .0511 










02 03 92 




.0512 










02 03 92 




.0513 - .0516 










02 03 92 




.0601 










02 03 92 




.0602 










02 03 92 





1805 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



LIST OF RULES CODIFIED 



Citation 


AD 


AM 


RP 


With 
Chgs 


Eff. 
Date 


Temp. 
Expires 


24 NCAC 3 .0603 










02 03,92 




.0604 








• 


02 03 92 




.0605 










02 03 92 




.0701 








• 


02 03 92 




.0702 - .0707 










02 03 92 




.0708 - .0710 








• 


02 03 92 




25 NCAC ID .0303 




• 






03 01,92 




.0308 




• 






03 01/92 




.1001 




• 






03 01 92 




.1004 






• 




03 01 92 




.1006 




• 






03 01,92 




.1007 






• 




03 01,92 




.1010 


• 








03 01,92 




IL .0201 - .0202 




• 






03 01 92 




.0203 




• 




• 


03 01 92 





6:2i NORTH CAROLINA REGISTER March 2, 1992 



1804 



RRC OBJECTIONS 



1 he Rules Re\ieM' Commission (RRC) objected to the following rules in accordance with OS. 
l43B-30.2{c). State agencies are required to respond to RRC as provided in G.S. J43B-30.2(dj. 

I emporary Rules are noted by "*"■ These Rules have already gone into effect. 



ADMIMSTRATION 

State Construction 

/ NCAC30F .0101 - Authority 

Agency Revised Rule 
1 NCAC 30F .0103 - Definitions 

Agency Re\ised Rule 
I NCAC 30F .0202 - Pre-Bid Conferences and Site Re\'ie\vs 

Agency Re\ised Rule 
I NCAC 30F .030/ - Definitions 

Agency Revised Rule 
1 NCAC 30F .0302 - CherallJob Performance 

Agency Revised Rule 
1 NCAC 30 F .0303 - Interim Contractor Evaluation 

Agency Revised Rule 
1 NCAC 30F .0305 - Report Compilation 

Agency Revised Rule 
1 NCAC 30F .0401 - Post-Occupancy Evaluation 

Agency Revised Rule 
1 NCAC 30F .0403 - Appeals of Assigned Eval or Disqual from Bidding 

Agency Revised Rule 

State Employees Combmed Campaign 

/ NC.4C 35 .0103 - Organization of the Campaign 

Agency Revised Rule 
1 NCAC 35 .0202 - Criteria for Acceptance 

Agency Re\ised Rule 
1 NCAC 35 .0302 - Response 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



10 17 91 

11 21 91 

10 17 91 

11 21 91 

10 17 91 

11 21 91 

10 17 91 

11 21 91 

10 n 91 

11 21 91 

10 17 91 

11 21 91 

10 17 91 

11 21 91 

10 17 91 

11 219 1 

10 17 91 

11 21 91 



01 24 92 
01 24 92 
01 24 92 
01 24 92 
01 24 92 
01 24 92 



AGRICILTIRE 

Plant Industr>' 

2 NCAC 48 E .0101 - Definitions 
Agency Re\ised Rule 
Agency Responded 

CRIME CONTROL AND PUBLIC SAFETY 

State Highway Patrol 

14A NCAC 9H .0304 - Notifying Registered Ch^ner 
No Response from Agency 



RRC Objection 10 17 '9 1 
RRC Objection 10 17 '9 1 
No Action 12 19 91 



RRC Objection 12 19 91 
No Action 0124 92 



1805 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



RRC OBJECTIONS 



ECONOMIC AND CO.MML^ITY DEVELOPMENT 

Credit Union Division 

4 NCAC 6C .031 1 - Surety Bond and Insurance Coverage 

Agency Re\'ised Rule 
4 NCAC 6C .0401 - Delinquent Loans and Loan Losses 

4 NCAC 6C .0402 - Charge-Off of Uncollectible Loans 

Agency Revised Rule 
4 NCAC 6C .0403 - Real Estate Loans 

Agency Revised Rule 
4 NCAC 6C .0407 - Business Loans 
4 NCAC 6C .1301 - Liquidity Reserves 

Agency Revised Rule 

Savings Institutions Division: Savings Institutions Commission 

4 NCAC I6A .0105 - Restrictions: Paymentl Dividends! Repurchase/ Stock 

Agency Revised Rule 
4 NCAC I6C .0402 - Application: Guidelines/ Approval,' Administrator 

Agency Revised Rule 
4 NCAC I6C .0403 - General Policies 
4 NCAC I6D .0301 - General Policies 

Agency Revised Rule 
4 NC4C I6E .0103 - Composition of Board of Directors 

Agency Revised Rule 
4 NCAC 16E .0105 - Amendment of Converted Savings Bank's Charter 

Agency Revised Rule 
4 NCAC 16E .0301 - General Policies 

Agency Revised Rule 
4 NCAC 16E .0303 - Required Policies 

Agency Revised Rule 
4 NCAC 16E .0502 - Holding of Certificate or Passbook 

Agency Revised Rule 
4 NCAC 16G .0404 - Information Prior To Approval/ Planj Conversion 

Agency Revised Rule 
4 NCAC 16G .0510 - Use of Proxy Soliciting Material to be Authorized 

Agency Revised Rule 
4 NCAC I6G .0513 - Material Required to be Filed 

.Agency Revised Rule 
4 NCAC 16G .0714 - Estimated Price Information: Proxy Statements 

Agency Revised Rule 
4 NCAC 16G .0720 - Period for Completion of Sale 

Agency Revised Rule 
4 NCAC 16G .0722 - Extensions of Time to Complete Offerings 

Agency Revised Rule 
4 NC.4C I6G .0825 - Requirements as to Paper and Printing 

Agency Revised Rules 
4 NCAC 16H .0002 - Grounds 

Agency Repealed Rule 
4 NCAC 16H .0008 - Waiver 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



11/21191 
12/19,91 
11/21/91 
12/19,91 
11/2L91 
12/19191 
11/21191 

12/19:91 

01i24i92 
11121/91 
12/19i91 



01/24:92 
01/24/92 
01/24/92 
01/24/92 
01/24:92 
01/24:92 
01/24i92 
01/24/92 
01/2492 
01/24192 
01/24:92 
01/24192 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24:92 
01/24:92 
01/24/92 
01/24.92 
01:24.92 
01/24:92 
01/24/92 
01/24/92 
01/24/92 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1806 



RRC OBJECTIONS 



4 NCAC 161 .0702 - Definitions and Other Terms 

Agency Re\ised Rule 
4 NCAC 161 .0703 - Stds for Approval of Acquisition: Duties; Conduct 

Agency Revised Rule 
4 NCAC 161 .0902 - Acquisition Procedure 

Agency Revised Rule 
4 NCAC 161 .1003 - Acquisition Procedure 

Agency Revised Rule 
4 NCAC 161 .1202 - Conversion Procedure 

Agency Revised Rule 
4 NCAC 16J .0003 - Waiver 

Agency Revised Rule 
4 NCAC I6K .0001 - Definitions 

Agency Revised Rule 
4 NCAC I6K .0005 - Books and Accounts 

Agency Revised Rule 
4 NCAC I6K .0009 - Self Dealing 

Agency Revised Rule 
4 NCAC 16K .0010 - Custody of Investments 

Agency Revised Rule 
4 NCAC I6L .0004 - Waiver 

Agency Revised Rule 

EDUCATION 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



01/24192 
0//24I92 
01/24/92 
01/24192 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24/92 
01/24:92 
01/24/92 
01/24192 
01/24/92 
0//24i92 
01/24/92 



Elementar>' and Secondary Education 

16 NCAC 6D .0103 - Graduation Requirements 
No Response from Agency 
Agency Revised Rule 

EMIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management 

ISA NCAC 7H .0306 - General Use Standards for Ocean Hazard Areas 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule with OAH 
ISA NCAC 7 J .0402 - Criteria for Grant or Denial of Permit Applications 
ISA NCAC 7M .0201 - Declaration of General Policy 

Agency Responded 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule with OAH 
ISA NCAC 7M .0202 - Policy Statements 

Agency Responded 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule with 0.4 H 
ISA NCAC 7M .0303 - Policy Statements 

Agency Responded 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule with OAH 
ISA NCAC 7M .0403 - Policy Statements 



A RRC Objection 9/19/91 

10/17/91 

Obj. Removed 12/19/91 



RRC Objection 
No Action 

Eff 

RRC Objection 
RRC Objection 
No A ction 
No Action 

Eff 

RRC Objection 
No Action 
No Action 

Eff 

RRC Objection 
No Action 
No Action 

Eff 

RRC Objection 



01/24/92 
01/24/92 
01/24/92 
03/01/92 
10/17/91 
I0/I7j91 
12/19/91 
01/24/92 
01/24/92 
03/01/92 
10/17/91 
12/19/91 
0l/24i92 
01/24/92 
03/01/92 
10/17/91 
12/19/91 
01/24/92 
01/24/92 
03/01/92 
10/17/91 



1807 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



RRC OBJECTIONS 



Agency Responded 
Agency Responded 
ISA NCAC 7M mo I - Declaration of General Policy 
Agency Responded 
Agency Responded 
Rule Returned to Agency 
Agency Filed Rule with OAH 



Health: Epidemiology' 

15A NCAC I9A .0202 - 

I5A NCAC I9H .0702 ■ 

Agency Revised Rule 

Sedimentation Control 



Control Measures - HIV 
Research Requests 



No Action 


I2I19'9I 


No A ction 


01 124 92 


RRC Objection 


10J7 91 


No Action 


12>1991 


No A ction 


01:24 92 




01:24 92 


Eff. 


03:01 92 



RRC Objection 10.17 91 
RRC Objection 112191 
Obj. Removed 12. 19 91 



ISA NCAC 4 A .OOOS - Definitions 

Agency Responded 
ISA NCAC4C .0007 - Procedures: Notices 

Agency Responded 

HUMAN RESOURCES 



RRC Objection 12 19 91 

No Action 01:24 92 

RRC Objection 12 19 91 

No Action 01,24:92 



Facilit\- Services 

10 NCAC 3 J .290S - Personal Hygiene Items 

10 NCAC 3W .0101 - State Cert for Labs Conducting Pap Smears 

Agency Revised Rule 
10 NCAC 3W .0201 - State Cert of Screening Mammography Svcs 

Agency Re\ised Rule 

Individual and Family Support 

10 NCAC 42E .0905 - Personnel: Centers: Homes with Operator! Staff 
10 NCAC 42E .0906 - Personnel: Day Care Homes:: Staff Person/Op 
10 NCAC 42 E .1108 - Records 

Agency Re\ised Rule 
10 NCAC 42E .1207 - Procedure 
10 NCAC 42Z .0604 - Staff Requirements 
10 NCAC42Z .0901 - Procedure 

Mental Health: General 



RRC Objection 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



RRC Objection 
RRC Objection 
RRC Objection 
Obj. Removed 
RRC Objection 
RRC Objection 
RRC Objection 



10 17 91 
01 24 92 
01,24 92 
01:2492 
OL 24.92 



01.24 92 
01:24 92 
01 24 92 
01.2492 
01 24' 92 
01 24 92 
01.24 92 



10 NCAC 14S .0102 - 
Agency Responded 

10 NCAC 14S .0103 - 
Agency Responded 

INSURANCE 



Communication Rights 
Living Environment 



A RRC Objection 9 19 91 

10 17 91 

A RRC Objection 9 19 91 

10,17:91 



Life and Health Division 



// NCAC 12 .0S07 - Fraternal Orders: Societies and Associations RRC Objection 

Agency Re\ised Rule Obj. Removed 

11 NCAC 12 .0826 - Filing Requirements for Advertising RRC Objection 

Agency Revised Rule Obj. Removed 

11 NCAC 12 .1202 - Definitions RRC Objection 



12 19 91 
01 24 92 
01,24. 92 
01124.192 
12 19 91 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



ISOS 



RRC OBJECTIONS 



Agency Revised Rule Obj. Removed 01 124192 

11 SCAC 12 .1209 - Discrimination RRC Objection 12119191 

Agency Revised Rule Obj. Removed 01 j 24 1 92 

LICENSrSG BOARDS AND COMMISSIONS 

Certified Public Accountant Examiners 

* 21 .\CAC 8G .0313 - Firm Same RRC Objection 10117 91 

.Agency Responded So Action I2il9<91 

Electrolysis Examiners 

+ 21 SC.4C 19 .0202 - App Licensure j Electrologist Practicing/ 1:1 92 RRC Objection 1H2L9I 

Agency Revised Rule Obj. Removed 12119:91 

STATE PERSONNEL 

Office of State Personnel 

25 SCAC IL .0301 - Purpose RRC Objection 11/21:91 

Agency Withdrew Rule 12/19:91 



1809 6:23 NORTH CAROLINA REGISTER March 2, 1992 



RULES INVALIDA TED BY JUDICLiL DECISION 



1 his Section of the Register lists the recent decisions issued by the North Carolina Supreme Court, 
Court of Appeals, Superior Court (when available J, and the Office of Administrative Hearings which 
invalidate a rule in the North Carolina Administrath-e Code. 



ISA NCAC 7J .0301 - WHO IS ENTITLED TO A CONTESTED CASE HEARING 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 
15A NCAC 07J .0301(b) void as applied in Lucy R. Hanson. Stanley P. and Jean C. Szv.'ed, Petitioners 
V. N.C. Department of Environment, Health, and Natural Resources, Division of Coastal Management, 
Respondent (91 EHR 0551, 91 EHR 0557). 

ISA NCAC 2 ID .0802(b)(2) -AVAILABILITY 

Robert Roosevelt ReiUy Jr., Administrative Law Judge with the Office of Administrative Hearings, de- 
clared Rule 15A NCAC 21 D .0802(b)(2) void as applied in Wilson's Supermarket #12, Petitioner v. De- 
partment of Environment, Health, and Natural Resources, Respondent (91 EHR 0795). 

ISA NCAC 2 ID .080S - DECISION 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 
15A NCAC 21 D .0805 void as applied in Glenn E. Davis/ Davis Grocery, Petitioner v. N.C. Department 
of Environment, Health, and Natural Resources, Division of Maternal and Child Health, WIC Section, 
Respondent (91 EHR 0694). 



6:23 NORTH CAROLINA REGISTER March 2, 1992 1810 



NOR TH CAROLINA ADMINISTRA TIVE CODE CLASSIFICA TION SYSTEM 



The North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two 
of these, titles and chapters, are mandatory. The major subdivision of the NCAC is the title. 
Each major department in the North Carolina executive branch of government has been as- 
signed a title number. Titles are further broken down into chapters which shall be numerical 
in order. The other two, subchapters and sections are optional subdivisions to be used by 
agencies when appropriate. 

TITLE/MAJOR DIMSIONS OF THE NORTH CAROLINA ADMINISTRATH E CODE 

TITLE DEPARIMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Architecture 


2 


2 


Agriculture 


Auctioneers 


4 


3 


Auditor 


Barber Examiners 


6 


4 


Economic and Community 


Certified Public Accountant Examiners 


8 




Development 


Chiropractic Examiners 


10 


5 


Correction 


General Contractors 


12 


6 


Council of State 


Cosmetic Art Examiners 


14 


7 


Cultural Resources 


Dental Examiners 


16 


8 


Elections 


Electrical Contractors 


18 


9 


Governor 


Electrologists 


19 


10 


Human Resources 


Foresters 


20 


11 


Insurance 


Geologists 


21 


12 


Justice 


Hearing Aid Dealers and Fitters 


22 


13 


Labor 


Landscape Architects 


26 


14A 


Crime Control and Public Safety 


Landscape Contractors 


28 


15A 


Environment, Health, and Natural 


Marital & Family Therapy 


31 




Resources 


Medical I'xaminers 


32 


16 


Public Education 


Midwifery Joint Committee 


33 


17 


Revenue 


Mortuary Science 


34 


18 


Secretary of State 


Nursing 


36 


19A 


Transportation 


Nursing I lome Administrators 


37 


20 


Treasurer 


Occupational Therapists 


38 


*21 


Occupational Licensing Boards 


Opticians 


40 


22 


Administrative Procedures 


Optometry- 


42 


23 


Community Colleges 


Osteopathic Examination and 


44 


24 


Independent Agencies 


Registration (Repealed) 




25 


State Personnel 


Pharmac>' 


46 


26 


Administrative Hearings 


Physical Therapy Examiners 


48 






Plumbing, Heating and Eire Sprinkler 


50 






Contractors 








Podiatry Examiners 


52 






Practicing Counselors 


53 






Practicing Psychologists 


54 






Professional Engineers and Land Surveyor; 


, 56 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work 


63 






Speech and Language Pathologists and 


64 






Audiologists 








Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



1811 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



CUMULA TIVE INDEX 



CUMULA TIVE INDEX 

(April 1991 - March 1992) 



1991 - 1992 



Pages 



AO - Administrative Order 

AG - Attorney General's Opinions 

C - Correction 

FR - Final Rule 

GS - General Statute 

JO - Judicial Orders or Decision 

M - Miscellaneous 

\P - Notice of Petitions 

PR - Proposed Rule 

SO - Statements of Organization 

TR - Temporar) Rule 



ADMIMSTRATION 

State Construction, 465 PR 

State Employees Combined Campaign, 924 PR 

ADMIMSTRATrV E HEARINGS 

Hearines Division, 310 PR, 1792 PR 
Rules Division, 665 PR, 1792 PR 



Issue 



1 - 44 1 - April 

44 - 99 2 - April 

100 - 185 3 - May 

186 - 226 4- May 

227 - 246 5 - June 

247 - 325 6 - June 

326 - 373 7 - July 

374 - 463 8 - July 

464 - 515 9 - August 

516 - 677 10 - August 

678 - 721 11 - September 

722 - 783 12 - September 

784 - 923 13 - September 

924 - 980 14- October 

981 - 1107 15 - November 

1108 - 1275 16 - November 

1276 - 1300 17 - December 

1301 - 1423 18 - December 

1424 - 1503 19 - January 

1504 - 1562 20 - January 

1563 - 1636 21 - February 

1637 - 1741 22 - Februar\- 

1742 - 1815 23 - March 



6:23 NORTH CAROLINA REGISTER March 2, 1992 



1812 



CUMULA TIVE INDEX 



ADMIMSTRAXrV E ORDER 

Administrative Order, 926 AO 

AGRICLLTLRE 

Food and Drug Protection Division, 576 PR, 725 PR, 1303 PR 

Markets, 576 PR, 1642 PR 

North Carolina State Fair, 576 PR 

Pesticide Board, 725 PR 

Plant Industry, 102 PR, 469 PR, 576 PR, 1642 PR 

Structural Pest Control Division, 1569 PR 

Veterinary Division, 1645 PR 

CORRECTION 

Division of Pnsons, 35 FR, 87 FR, 209 FR, 700 FR, 938 FR, 1744 PR 

CRIME CONTROL AND PUBLIC SAFETY 

State Highway Patrol, Division of, 809 PR 

CULTURAL RESOURCES 

Archives and Histor\', 932 PR 
State Library, 686 PR 

ECONOMIC AND COMMUNITY DE\ ELOFMENT 

Alcoholic Beverage Control Commission, 4 PR, 1648 PR 

Banking Commission, 1424 PR 

Community Assistance, 104 PR, 1579 PR 

Credit Imon Division, 231 PR, 683 PR, 1108 PR 

Employment and Training, 590 PR 

Savings Institutions Division, 984 PR 

ENA IRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management, 299 PR, 1139 PR, 1753 PR 
Departmental Rules, 1513 PR 

Environmental Management, 197 PR, 271 PR, 447 PR, 1061 PR, 1315 PR, 1520 PR, 1611 PR 
Forest Resources, 300 PR 

Governor's Waste Management Board, 1277 PR 
Health: Epidemiologv, 28 PR, 341 PR, 735 PR, 1279 PR 
Health Services, 9 PR, 327 PR, 727 PR, 815 PR, 1452 PR 
Land Resources, 494 PR, 810 PR, 1720 PR 
Marine Fishenes, 122 PR, 690 PR 
Parks and Recreation, 693 PR 
Radiation Protection, 1367 PR 
Soil and Water Conservation, 1751 PR 
State Registrar, 734 PR 
Water Treatment Facility Operators, 495 PR 

Wildlife Resources Commission, 84 PR, 170 PR, 198 PR, 301 PR, 647 PR, 692 PR, 1062 PR, 
1323 PR, 1542 PR, 1619 PR, 1637 C 

FINAL DECISION LETTERS 

Voting Rights Act, 48, 230, 248, 326, 464, 516, 681, 722, 806, 927, 1301, 1505, 1566, 1640, 1743 

GENERAL STATUTES 

Chapter 150B, 784 GS 

GOVERNOR/LT. GOVERNOR 

Executive Orders. 1, 45, 100, 186, 227, 247, 374, 678, 804, 924, 981, 1276, 1504, 1563, 1742 



1813 6:23 NORTH CAROLINA REGISTER March 2, 1992 



CUMULA TIVE INDEX 



HUMAN RESOURCES 

Aging, Division of, 72 PR. 422 PR 

Blind, Services for, 686 PR 

Departmental Rules, 1114 PR 

Economic Opportumtv, 604 PR, 689 PR 

Facility Ser\ices, 104 PR, 471 PR, 592 PR, 1035 PR, 1443 PR, 1584 PR 

Medical Assistance, 9 PR, 112 PR, 188 PR, 232 PR, 250 PR, 430 PR, 492 PR, 601 PR, 688 PR, 

726 PR, 807 PR, 932 PR, 1036 PR, 1277 PR, 1452 PR, 1703 PR 
Mental Health, Developmental Disabilities and Substance Abuse Services, 5 PR, 49 PR, 375 PR, 

449 FR, 1446 PR 
Social Ser\'ices, 116 PR, 1039 PR, 1607 PR 

rSDEFENDENT AGENCIES 

Housing Finance Agency. 1484 PR 

Safety and Health Review Board of North Carolina, 1069 PR 

INSURANCE 

Actuanal Services Division, 119 PR, 1060 PR, 1749 PR 
Agent Services Division, 1056 PR, 1303 PR 
Ensineering and Building Codes, 1704 PR 
Financial Evaluation Division, 933 PR, 1308 PR 
Life and Health Division, 430 PR, 1 1 14 PR 
Property and Casualty Division, 1509 PR 
Special Services Division, 84 PR 

JUSTICE 

Criminal Justice Education and Training Standards, 607 PR 
Pri\ate Protective Services. 121 PR 
Sheriffs' Standards Division, 618 PR 
State Bureau of Investigation, 250 PR 

LABOR 

Boiler and Pressure Vessel, 1310 PR 

Elevator and Amusement Device Division, 1712 PR 

Occupational Safety and Health, 1138 PR, 1309 PR 

LICENSrVG BOARDS 

Architecture, Board of, 30 PR, 232 PR 

Certified PubUc Accountant Examiners, 201 PR, 935 PR, 1141 PR 

Cosmetic Art Examiners, 653 PR, 1066 PR, 1723 PR 

Electrolysis Examiners, Board of, 737 PR 

Geologists, Board of. 654 PR 

Hearing Aid Dealers and Fitters, 496 PR, 655 PR 

Landscape Contractors' Registration Board, 665 PR 

Medical Exammers, Board of, 304 PR, 363 PR, 935 PR 

Nursmg, Board of, 305 PR, 1765 PR 

Optometrv, Board of Examiners, 1068 PR 

Pharmacy, Board of, 201 PR, 1480 PR 

Physical Therapy Examiners, Board of, 33 PR, 363 PR 

Practicing Psychologists Examiners, 203 PR 

Professional Engineers and Land Surveyors, 497 PR 

Real Estate Commission, 171 PR, 500 PR, 1546 PR 

Speech & Language Pathologists & Audiologjsts, 1777 PR 

LIST OF RULES CODIFIED 

List of Rules Codified, 89, 215, 314, 451, 504, 711, 907, 1087, 1281, 1487, 1624, 1797 

PUBLIC EDUCATION 

Elementary and Secondar>, 29 PR, 199 PR, 303 PR, 694 PR, 1140 PR, 1721 PR 



6:23 NORTH CAROLINA REGISTER March 2, 1992 1814 



CUMULA TIVE INDEX 



RE\ENLE 

Corporate Income and Franchise Tax Division, 816 FR 

Departmental Rules, 968 FR, 1729 FR 

Individual Income, Inheritance and Gift Tax Division, 739 FR 

Individual Income Tax Division, 234 FR, 747 FR, 1794 FR 

Intangibles Tax Division, 766 FR, 969 FR 

License and Excise Tax Division, 740 FR, 969 FR 

Motor Fuels Tax Division, 768 FR, 1620 FR 

Property Tax Commission, 210 FR 

Sales and Use Tax, 817 FR 

SFXRKTARY OF STATE 

Securities Division, 85 PR 

STATE PERSONNEL 

Office of State Personnel, 696 PR. 1082 PR, 1485 PR, 1777 PR 
State Personnel Commission, 172 PR, 364 PR 

STATE TREASURER 

Retirement Systems, 736 PR 

STATEMENTS OE ORGANIZATION 

Statements of Organization, 518 SO 

TAX REMEW BOARD 

Orders of Tax Review Board, 1641 

TRANSPORTATION 

Assistant Secretary For Management. 1254 FR 

Assistant Secretary For Planning, 1259 FR 

Departmental Rules, 1142 FR 

Division of Highwavs, 1 146 FR 

Division of .Motor Vehicles, 213 FR, 502 FR, 701 FR, 773 FR, 1229 FR, 1545 PR 



1815 6:23 NORTH CAROLINA REGISTER March 2, 1992 



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